department of transportation cross-cutting section · august 2019 department of transportation...

August 2019 Department of Transportation Cross-Cutting Section DOT

DEPARTMENT OF TRANSPORTATION

CROSS-CUTTING SECTION

This section contains compliance requirements that apply to more than one Department of Transportation (DOT) program in the Supplement The compliance requirements in this DOT Cross-Cutting Section reference the applicable programs in Part 4 Agency Compliance Requirements Similarly the applicable programs in Part 4 reference this DOT Cross-Cutting Section

IMPORTANT Due to program priorities for 2019 each program may not have included all the cross-cutting section requirements within their pick 6 Past Compliance Supplements did not have a restriction for a maximum number of requirements therefore the cross-cutting section could apply to all impacted programs without consideration of the number of requirements Agencies need to reconsider which requirements will remain in the cross-cutting section for future years this will be addressed in the 2020 Compliance Supplement For 2019 auditors are advised to use the program selections as the final guidance and not the cross-cutting section for the purposes of the 2019 audit

CFDA Program Name

Airport Improvement Program

20106 Airport Improvement Program

Highway Planning and Construction Cluster

20205 Highway Planning and Construction (Federal-Aid Highway Program) 20219 Recreational Trails Program 20224 Federal Lands Access Program 23003 Appalachian Development Highway System

TIFIA Program

20223 Transportation Infrastructure Finance and Innovation Act (TIFIA) Program

High-Speed Intercity Passenger Rail

20319 High-Speed Rail Corridors and Intercity Passenger Rail Service ndash Capital Assistance Grants

Compliance Supplement 2019 - revised 4-20000-1


Federal Transit Cluster

20500 Federal Transit ndash Capital Investment Grants (Fixed Guideway Capital Investment Grants)

20507 Federal Transit ndash Formula Grants (Urbanized Area Formula Program) 20525 State of Good Repair Grants Program 20526 Bus and Bus Facilities Formula Program (Bus Program)

Formula Grants for Rural Areas

20509 Formula Grants for Rural Areas

Transit Services Programs

20513 Enhanced Mobility of Seniors and Individuals with Disabilities 20516 Job Access and Reverse Commute Program 20521 New Freedom Program

Emergency Transit Relief Program

20527 Public Transportation Emergency Relief Program

I PROGRAM OBJECTIVES

Program objectives for programs covered by this cross-cutting section are set forth in the individual program sections of this Supplement

II PROGRAM PROCEDURES

The DOT implementation of 2 CFR part 200 and Federal transit legislation and regulations has established a number of requirements that would apply to multiple programs funded by DOT Certain exceptions or dollar thresholds in these requirements may not apply to many rural transit activities

III COMPLIANCE REQUIREMENTS

F Equipment and Real Property Management

1 Equipment Management Requirements for Subrecipients of States ndash Applies to all of the DOT programs in the Supplement that are listed above

Notwithstanding 2 CFR section 200313 subrecipients of States shall follow such policies and procedures allowed by the State with respect to the use management and disposal of equipment acquired under a DOT award (2 CFR section 1201313)

2 Transfer Sale or Lease of Transit Property Equipment or Supplies ndash Applies to the following DOT programs in this Supplement Federal Transit Cluster



(20500 20507 20525 and 20526) Formula Grants for Rural Areas (20509) Transit Services Programs (20513 20516 and 20521) and Emergency Transit Relief Program (20527)

Recipients with Federal Transit Administration (FTA) approval are allowed to transfer sell or lease property equipment or supplies acquired with Federal transit funds that are no longer needed for transit purposes FTA may authorize the recipient to transfer the asset to a local governmental authority to be used for a public purpose (49 USC 5334 (h)(1) through (h)(3)) If a recipient sells the asset the proceeds must be used to reduce the gross project costs of another federally funded capital transit project (49 USC 5334(h)(4)) or handled as stated in 49 CFR sections 1831 or 18322 CFR sections 200311 or 200313 (49 USC 5334(h)) and FTA Circular 50101)

I Procurement and Suspension and Debarment

1 Procurement Requirements for Subrecipients of States ndash Applies to all of the DOT programs in the Supplement that are listed above

Notwithstanding 2 CFR section 200317 subrecipients of States shall follow such policies and procedures allowed by the State when procuring property and services under a DOT award (2 CFR section 1201317)

2 Buy America ndash Applies to the following DOT programs in this Supplement Federal Transit Cluster (20500 20507 20525 and 20526) Formula Grants for Rural Areas (20509) Transit Services Programs (20513 20516 and 20521) and Emergency Transit Relief Program (20527)

All steel iron and manufactured products used in the project must be produced in the US as demonstrated by a Buy America certificate but in the case of rolling stock the cost of components produced in the United States is more than 60 percent of the cost of all components of the rolling stock and final assembly of the vehicle takes place in the US (49 CFR part 661)

a The FTA Administrator may grant specific waivers following case-by-case determinations that (1) applying the requirement would be inconsistent with the public interest (2) the goods are not produced in the US in a sufficient and reasonably available quantity and of satisfactory quality or (3) the inclusion of the domestically produced material will increase the overall project cost by more than 25 percent (49 CFR sections 6617(b) through (d))

b Appendix A to 49 CFR section 6617 provides general waivers for the following items

(1) Those articles materials and supplies listed in 48 CFR section 25104



3

4

(2) Microprocessors computers microcomputers or software or other such devices which are used solely for the purpose of processing or storing data and

(3) All ldquosmall purchasesrdquo (under $150000) made by FTA recipients with capital planning or operating assistance

c Appendix A to 49 CFR section 66111 provides a general Buy America waiver when foreign-sourced spare parts for buses and other rolling stock (including train control communication and traction power equipment) whose total cost is 10 percent or less of the overall project contract cost are being procured as part of the same contract for the major capital item

d A recipient that purchases rolling stock for transportation of passengers in revenue service must conduct or cause to be conducted a pre-award audit before entering into a formal contract for the purchase of rolling stock and certify that a post-delivery audit is complete before title to the rolling stock is transferred to the recipient or the rolling stock is put into revenue service whichever occurs first Pre-award and post-delivery audits verify the accuracy of the Buy America certification purchaserrsquos requirements certification and certification of compliance with or inapplicability of Federal motor vehicle safety standards in 49 CFR part 571 (49 CFR part 663)

Disadvantaged Business Enterprises (DBE) ndash Applies to the following DOT programs in this Supplement Federal Transit Cluster (20500 20507 20525 and 20526) Formula Grants for Rural Areas (20509) Transit Services Programs (20513 20516 and 20521) and Emergency Transit Relief Program (20527)

Recipients shall require that as a condition to bid on a transit vehicle procurement in which FTA funds are involved each transit vehicle manufacturer certify that it has complied with the requirements of 49 CFR section 2649 Recipients may with FTA approval establish project-specific goals for DBE participation in the procurement of transit vehicles that a manufacturer must meet (49 CFR section 2649(d))

Procurement of Vehicles and Facilities ndash Applies to the following DOT programs in this Supplement Federal Transit Cluster (20500 20507 20525 and 20526) Formula Grants for Rural Areas (20509) Transit Services Programs (20513 20516 and 20521) and Emergency Transit Relief Program (20527)

In prohibiting discrimination in the provision of transportation services against persons with disabilities the Americans with Disabilities Act of 1990 requires that vehicles purchased or leased after August 25 1990 and new and altered facilities designed and constructed (as marked by the notice to proceed) after



January 25 1992 must comply with the applicable standards of accessibility in 49 CFR parts 37 and 38 (42 USC 12101-12213)

J Program Income

Applies to all of the DOT programs in the Supplement that are listed above

Notwithstanding 2 CFR section 20080 except as otherwise provided in Federal statutes regulations or the terms and conditions of the Federal award program income also does not include taxes special assessments levies and fines raised by a grantee and subgrantee and interest earned on any of them (2 CFR section 120180)

N Special Tests and Provisions

1 Charter Service

Applies to the following DOT programs in this Supplement Federal Transit Cluster (20500 20507 20525 and 20526) Formula Grants for Rural Areas (20509) Transit Services Programs (20513 20516 and 20521) and Emergency Transit Relief Program (20527)

Compliance Requirements As part of the annual certifications and assurances required by the FTA a recipient must execute an agreement with FTA which provides that it and each of its subrecipients and third-party contractors at any level who use FTA-funded vehicles may provide charter service using equipment or facilities acquired with Federal assistance authorized under the Federal transit laws only in compliance with 49 CFR part 604 Charter service means transportation provided at the request of a third party for the exclusive use of a bus or van for a negotiated price The following features may be characteristic of charter service (a) a third party pays the transit provider a negotiated price for the group (b) any fares charged to individual members of the group are collected by a third party (c) the service is not part of the transit providerrsquos regularly scheduled service or is offered for a limited period of time or (d) a third party determines the origin and destination of the trip as well as scheduling Charter service may also mean transportation is provided by a recipient to the public for events or functions that occur on an irregular basis or for a limited duration and (a) a premium fare is charged that is greater than the usual or customary fixed route fare or (b) the service is paid for in whole or in part by a third party Charter service does not include demand response service to individuals A recipient providing charter service under the exception provisions in 49 CFR section 60412 shall post the records required under this subpart on the FTA charter registration website 30 days after the end of each calendar quarter (49 CFR part 604)

Audit Objectives Determine whether the use in charter service of any equipment and facilities acquired with FTA funds conformed to 49 CFR part 604

Suggested Audit Procedures

a Ascertain if the recipient provides charter service with FTA-funded equipment by



(1) Obtaining written representation from the recipient

(2) Reviewing the revenue accounts for indications of charter revenue statements and

(3) Reviewing the recipientrsquos website and local business ldquoYellow Pagesrdquo for indications of charter-service operations

b Review the recipientrsquos policies and procedures for charter rental or lease of its transit equipment

c Test transactions that meet the definition of charter service and ascertain if

(1) The charter service regulation is applicable

(2) FTA-assisted equipment or facilities (eg parking lots and maintenance garages) were used

(3) Documentation evidences quarterly reporting of charter service provided under the exceptions in 49 CFR part 604 and

(4) Inventory records were adjusted to extend the useful life of FTA-subsidized transit equipment by the amount of charter service

2 School Bus Operation


Compliance Requirements As part of the annual certifications and assurances required by FTA a recipient must enter into an agreement with the FTA stating that the recipient will not engage in school bus operations exclusively for the transportation of students and school personnel in competition with private school bus operators unless it demonstrates to the FTA Administrator any one of the exceptions listed in 49 CFR section 60511 applies and the Administrator concurs Indicators of prohibited exclusive school bus service are

a Bus schedules that only operate one way to schools in the morning and the other way from schools in the afternoon

b Destination signs that say ldquoschool busrdquo ldquoschool specialrdquo or a school name

c Buses that have flashing lights and swing arms like standard yellow school buses

d Bus stop signs that say ldquoschoolrdquo



e Bus stops that are located on school property away from general public thoroughfares

However all recipients can operate ldquotripper servicerdquo which is defined as regularly scheduled public transportation service that is open to the public and designed or modified to accommodate the needs of school students and personnel using various fare collections or subsidy systems Buses used in ldquotripper servicerdquo are required to be clearly marked as open to the public and should not carry designations such as ldquoschool busrdquo or ldquoschool specialrdquo All routes traveled by tripper buses must be within a grantee or operatorrsquos regular route service as indicated in their published schedules (49 CFR part 605)

Audit Objectives Determine whether school bus service provided with FTA-funded equipment was approved by FTA or that FTA-assisted equipment and facilities used to accommodate students conformed to the definition of ldquotripper servicerdquo


a Ascertain if the recipient operates any transit service exclusively for school children through

(1) Reviews of bus schedules published fares and service contracts

(2) Discussions with recipient officials and

(3) Reviews of school district or individual school websites for information on bus transportation of school students

b Ascertain if FTA-funded equipment (eg buses or vans) or facilities (eg bus maintenance garages) were used to provide school bus service by reviewing inventory records maintenance logs parking sites names on bus and van destination signs school facilities or by performing other appropriate procedures

c If exclusive school bus service is identified review documentation that the service was approved by FTA


August 2019 Wage Rate Requirements Cross Cutting Section DOT

WAGE RATE REQUIREMENTS CROSS-CUTTING SECTION

INTRODUCTION

This section contains guidance for audit of the Wage Rate Requirements (also known as the Davis-Bacon Act) as they apply to programs of the Department of Transportation and other Federal agencies as specified below and referenced in IIIN ldquoSpecial Tests and Provisionsrdquo of the affected programs in Part 4 of the Supplement The statutory source requirement ie the ldquocompliance requirementrdquo is stated in the individual programs along with any program-specific limitations and a reference to this cross-cutting section The general compliance requirement audit objectives and suggested audit procedures are specified in this cross-cutting section


CFDA Program Name






TIFIA Program















DEPARTMENT OF COMMERCE

Economic Development

11300 Investments for Public Works and Economic Development Facilities 11307 Economic Adjustment Assistance

Broadband Technology

11557 Broadband Technology Opportunities Program

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Supportive Housing for the Elderly

14157 Supportive Housing for the Elderly (Section 202)

Supportive Housing for Persons with Disabilities (Section 811)

14181 Supportive Housing for Persons with Disabilities (Section 811)



CDBG ndash Entitlement Grants Cluster

14218 Community Development Block GrantsEntitlement Grants 14225 Community Development Block GrantsSpecial Purpose GrantsInsular

Areas

State-Administered CDBG

14228 Community Development Block GrantsStatersquos Program and Non- Entitlement Grants in Hawaii

Shelter Plus Care

14238 Shelter Plus Care

Home Investment Partnerships Program

14239 Home Investment Partnerships Program

NSP ndash Recovery Act

14256 Neighborhood Stabilization Program (Recovery Act Funded)

CDBG Disaster Recovery Grants Pub L No 113-2 Cluster

14269 Hurricane Sandy Community Development Block Grant Disaster Recovery Grants (CDBG-DR)

14272 National Disaster Resilience Competition (CDBG-NDR)

Public Housing

14850 Public and Indian Housing

HOPE VI Cluster

14866 Demolition and Revitalization of Severely Distressed Public Housing (Hope VI)

14889 Choice Neighborhoods Implementation Grants

Indian Housing Block Grants

14867 Indian Housing Block Grants

CFP

14872 Public Housing Capital Fund (CFP)



Native Hawaiian Housing

14873 Native Hawaiian Housing Block Grants

Moving to Work Demonstration Program

14881 Moving to Work Demonstration Program

DEPARTMENT OF THE TREASURY

Gulf RESTORE

21015 Resources and Ecosystems Sustainability Tourist Opportunities and Revived Economies of the Gulf Coast States (Gulf RESTORE)

DEPARTMENT OF EDUCATION

Impact Aid

84041 Impact Aid (Title VIII of ESEA)

GULF COAST ECOSYSTEM RESTORATION COUNCIL

RESTORE Act Comprehensive Plan Component

87051 Gulf Coast Ecosystem Restoration Council Comprehensive Plan Component Program

RESTORE Act Spill Impact Component

87052 Gulf Coast Ecosystem Restoration Council Oil Spill Impact Program



Wage Rate Requirements

Compliance Requirements All laborers and mechanics employed by contractors or subcontractors to work on construction contracts in excess of $2000 financed by Federal assistance funds must be paid wages not less than those established for the locality of the project (prevailing wage rates) by the Department of Labor (DOL) (40 USC 3141-3144 3146 and 3147

Non-federal entities shall include in their construction contracts subject to the Wage Rate Requirements (which still may be referenced as the Davis-Bacon Act) a provision that the contractor or subcontractor comply with those requirements and the DOL regulations



(29 CFR part 5 Labor Standards Provisions Applicable to Contacts Governing Federally Financed and Assisted Construction) This includes a requirement for the contractor or subcontractor to submit to the non-Federal entity weekly for each week in which any contract work is performed a copy of the payroll and a statement of compliance (certified payrolls) (29 CFR sections 55 and 56 the A-102 Common Rule (sect ___36(i)(5)) OMB Circular A-110 (2 CFR part 215 Appendix A Contract Provisions) 2 CFR part 176 subpart C and 2 CFR section 200326)

This reporting is often done using Optional Form WH-347 which includes the required statement of compliance (OMB No 1235-0008) The US Department of Labor Employment Standards Administration maintains a Davis-Bacon and Related Acts web page (httpswwwdolgovwhdgovcontractsdbrahtm) Optional Form WH-347 and instructions are available on this web page

Audit Objectives Determine whether the non-Federal entity notified contractors and subcontractors of the requirements to comply with the Wage Rate Requirements and obtained copies of certified payrolls


Select a sample of construction contracts and subcontracts greater than $2000 that are covered by the Wage Rate Requirements and perform the following procedures

a Verify that the required prevailing wage rate clauses were included in the contract or subcontract

b For each week in which work was performed under the contract or subcontract verify that the contractor or subcontractor submitted the required certified payrolls

(Note Auditors are not expected to determine whether prevailing wage rates were paid)


August 2019 Airport Improvement Program DOT


CFDA 20106 AIRPORT IMPROVEMENT PROGRAM


The objective of the Airport Improvement Program is to assist sponsors owners or operators of public-use airports in the development of a nationwide system of airports adequate to meet the needs of civil aeronautics


States counties municipalities US Territories and possessions and other public agencies including Indian tribes or Pueblos (sponsors) are eligible for airport development grants if the airport on which the development is required is listed in the National Plan of Integrated Airport Systems (NPIAS) Applications for grants must be submitted to the appropriate Federal Aviation Administration (FAA) Airports Office Primary airport sponsors must notify FAA by January 31 or another date specified in the Federal Register of their intent to apply for funds to which they are entitled under Pub L No 97-248 (49 USC Chapter 31) A reminder is published annually in the Federal Register Other sponsors are encouraged to submit early in the fiscal year and to contact the appropriate FAA Airports Office for any local deadlines Sponsors must formally accept grant offers no later than September 30 for grant funds appropriated for that fiscal year

Source of Governing Requirements

This program is authorized by 49 USC Chapter 471

Availability of Other Program Information

Additional program information is provided in FAA Order 510038D Airport Improvement Program Handbook (available at httpwwwfaagovairportsaipaip_handbook) and FAA Advisory Circulars in the 1505100 series (available at httpwwwfaagovairportsresourcesadvisory_circulars) The FAA also maintains an Airports Federal Register Notices page available at httpwwwfaagovairportsresourcespublicationsfederal_register_notices

Program related questions may be directed to Jonathan DiMartino FAA Airports Financial Assistance Division at 202-267-8744 (direct) and 202-267-3831 (main) or by e-mail at JonathanDiMartinofaagov Questions related to the revenue diversion and other compliance requirements may be directed to Olu Okegbenro FAA Airport Compliance Division at 202-267- 3785 (direct) and 202-267-3446 (main) or by e-mail at OluOkegbenrofaagov


In developing the audit procedures to test compliance with the requirements for this Federal program the auditor must determine from the following summary (also included in Part 2 ldquoMatrix of Compliance Requirementsrdquo) which of the 12 types of compliance requirements have been identified as subject to the audit (noted with a ldquoYrdquo in the summary

Compliance Supplement 2019 4-20106-1


matrix below) and then determine which of the compliance requirements that are subject to the audit are likely to have a direct and material effect on the Federal program at the auditee For each such compliance requirement subject to the audit the auditor must use Part 3 (which includes generic details about each compliance requirement other than Special Tests and Provisions) and this program supplement (which includes any program-specific requirements) to perform the audit When a compliance requirement is shown in the summary below as ldquoNrdquo it has been identified as not being subject to the audit Auditors are not expected to test requirements that have been noted with an ldquoNrdquo See the Safe Harbor Status discussion in Part 1 for additional information

A B C E F G H I J L M N

Act

iviti

es

Allo

wed

or

Una

llow

ed

Allo

wab

le

Cos

tsC

ost

Prin

cipl

es

Cas

h M

anag

emen

t

Elig

ibili

ty

Equi

pmen

t R

eal P

rope

rtyM

anag

emen

t

Mat

chin

gLe

vel o

f Eff

ort

Earm

arki

ng

Perio

d O

fPe

rfor

man

ce

Proc

urem

ent

Susp

ensi

on amp

Deb

arm

ent

Prog

ram

In

com

e

Rep

ortin

g

Subr

ecip

ient

M

onito

ring

Spec

ial

Test

s and

Pr

ovis

ions

Y Y Y N Y N N N N Y N Y

A Activities Allowed or Unallowed

1 Activities Allowed

Grants can be made for planning constructing improving or repairing a public- use airport or portions thereof and for acquiring safety or security equipment Eligible terminal building development is limited to non-revenue-producing public-use areas that are directly related to the movement of passengers and baggage in air carrier and commuter service terminal facilities within the boundaries of the airport Eligible construction is limited to items of work and to the quantities listed in the grant description andor special conditions (49 USC 47110)

2 Activities Unallowed

a In general Federal funds cannot be expended for

(1) Passenger automobile parking facilities and portions of terminals that are revenue-producing or not directly related to the safe movement of passengers and baggage at the airports and

(2) Costs incurred before the execution of the grant agreement unless such costs are for land necessary costs in formulating a project or costs covered by a letter of intent However an airport designated



b

by the FAA as a primary airport may use passenger entitlement funding made available under 49 USC 47114(c) for costs incurred (1) prior to the execution of the grant agreement (2) in accordance with the airport layout plan approved by the FAA and (3) according to all statutory and administrative requirements that would have applied had work on the project not commenced until after the grant agreement had been executed (49 USC 47110(b)(2)(C))

The following are examples of items for which FAA funds cannot be expended (FAA Order 510038D Airport Improvement Program Handbook and FAA Advisory Circulars in the 1505100 series)

(1) Emergency planning

(2) Decorative landscaping sculpture or art works

(3) Communication systems except those used for safetysecurity

(4) Training facilities except those included in an otherwise eligible project as an integral part of that project and that are of a relatively minor or incidental cost ie less than 10 percent of the project cost An example of an exception would be a training room included as part of a new Aircraft Rescue and Firefighting (ARFF) facility Interactive training systems and ldquolive firerdquo ARFF training facilities are eligible

(5) Roads of whatever length exclusively for the purpose of connecting public parking facilities to an access road

(6) Roads serving solely industrial or non-aviation-related areas or facilities

(7) Equipment that is used by air traffic controllers such as Airport surface detection systems (ASDE)

(8) Maintenanceservice facilities except for those allowed to service required ARFF equipment

(9) Officeadministrative equipment including data processing equipment computers recorders etc

(10) Projects for the determination of latitude longitude and elevation except as an incidental part of master planning



3 Exception

For a non-hub airport (one that accounts for less than 005 percent of total US passenger boardings) the FAA may approve as allowable costs the expenses of terminal development in a revenue-producing area and construction repair and improvement of parking lots (49 USC 47110(d)(2))


See also Part 4 20001 DOT Cross-Cutting Section

Under this program FAA is authorized by 49 USC 47107(c) as amended to allow recipients to reinvest the proceeds from the disposition of real property acquired with Federal awards for noise compatibility or airport development purposes

L Reporting

1 Financial Reporting

a SF-270 Request for Advance or Reimbursement ndash Applicable

b SF-271 Outlay Report and Request for Reimbursement for Construction Programs ndash Applicable

c SF-425 Federal Financial Report ndash Applicable

d FAA Form 5100-127 Operating and Financial Summary (OMB No 2120-0569) ndash Sponsors of commercial service airports are required to submit this report which captures revenues and expenditures at the airport including revenue surplus

e FAA Form 5100-126 Financial Government Payment Report (OMB No 2120-0569) ndash This report captures amounts paid and services provided to other units of government This reporting requirement technically applies to all sponsors of federally assisted airports who accepted grants with assurance no 26(d)(I)(ii) however FAA is currently requiring submission only from commercial service airports Commercial service airports are the airports most likely to generate excess revenue that could be diverted to non-airport uses

2 Performance Reporting

Not Applicable

3 Special Reporting

Not Applicable




1 Wage Rate Requirements

Compliance Requirements The Wage Rate Requirements are applicable to construction work for airport development projects (49 USC 47112)

See Part 4 20001 Wage Rate Requirements Cross-Cutting Section

2 Revenue Diversion

Compliance Requirements The basic requirement for use of airport revenues is that all revenues generated by a public airport must be expended for the capital or operating costs of the airport the local airport system or other local facilities which are owned or operated by the owner or operator of the airport and are directly and substantially related to the actual air transportation of passengers or property The limitation on the use of revenue generated by the airport shall not apply if the governing statutes controlling the ownerrsquos or operatorrsquos financing that was in effect before September 3 1982 provided for the use of any revenue from the airport to support not only the airport but also the airport ownerrsquos or operatorrsquos general debt obligations or other facilities (49 USC 47107(b)) Policies and Procedures Concerning the Generation and Use of Airport Revenue issued February 16 1999 (64 FR 7695) contains definitions of airport revenue and unlawful revenue diversion provides examples of airport revenue and describes permitted and prohibited uses of airport revenue The policy can be obtained from FAArsquos Airports Federal Register Notices page (httpwwwfaagovairportsresourcespublicationsfederal_register_notices)

Penalties imposed for revenue diversion may be up to three times the amount of the revenues that are used in violation of the requirement (49 USC 4603(a)(5))

Audit Objectives Determine whether the airport revenues were used for required or permitted purposes


a Review the policy for using airport revenue

b Perform tests of airport revenue generating activities (eg passenger facilities charges leases and telephone contracts) to ascertain that all airport-generated revenue is accounted for

c Test expenditures of airport revenue to verify that airport revenue is used for permitted purposes

d Perform tests of transactions to ascertain that payments from airport revenues to the sponsors related parties or other governmental entities are airport-related properly documented and are commensurate with the services or products received by the airport



e Perform tests to assure that indirect costs charged to the airport from the sponsorrsquos cost allocation plan were allocated in accordance with the FAA policy on cost allocation

IV OTHER INFORMATION

The Federal Aviation Reauthorization Act of 1996 Section 805 (49 USC 47107(l)) requires public agencies that are subject to the Single Audit Act Amendments of 1996 (Act) that have received Federal financial assistance for airports to include as part of their single audit a review and opinion of the public agencyrsquos funding activities with respect to their airport or local airport revenue system In the February 16 1999 Federal Register (64 FR 7675) the FAA issued a notice titled Policy and Procedures Concerning the Use of Airport Revenue This notice provides that the opinion required by 49 USC 47107(l) is only required when the Airport Improvement Program (AIP) is audited as major program under 2 CFR part 200 subpart F and that the auditor reporting requirements of 2 CFR part 200 subpart F satisfy the opinion requirement However the notice provides that the AIP may be selected as a major program based upon either the risk-based approach prescribed in 2 CFR section 200518 or the FAA designating the AIP as a major program under 2 CFR section 200503(e)


August 2019 Highway Planning and Construction Cluster DOT


CFDA 20205 HIGHWAY PLANNING AND CONSTRUCTION (Federal-Aid Highway Program)

CFDA 20219 RECREATIONAL TRAILS PROGRAM

CFDA 20224 FEDERAL LANDS ACCESS PROGRAM

CFDA 23003 APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM


The objectives of the Highway Planning and Construction Cluster are to (1) assist States tribal governments and Federal land management agencies in the planning and development of an integrated interconnected transportation system important to interstate commerce and travel by constructing rehabilitating and preserving the National Highway System (NHS) including Interstate highways and other Federal-aid highways (2) provide aid for the repair of Federal-aid highways following disasters (3) foster safe highway design and improve bridge conditions (4) to support community-level transportation infrastructure and (5) to provide for other special purposes This cluster also provides for the improvement of roads in the District of Columbia Puerto Rico Guam the United States Virgin Islands American Samoa and the Commonwealth of the Northern Mariana Islands and on the Appalachian Development Highway System (ADHS) The objective of the ADHS program is to provide a highway system which in conjunction with other federally aided highways will open up areas with development potential within the Appalachian region where commerce and communication have been inhibited by lack of adequate access


Federal-aid highway funds are generally apportioned by statutory formulas to the States and generally restricted to use on Federal-aid highways (ie roads open to the public and not functionally classified as local or rural minor collector roads) Exceptions to the use on Federal-aid highways include (1) planning and research activities (2) bridge and safety improvements which may be on any public road (3) highway safety improvement projects bicycle and pedestrian projects transportation alternatives and recreational trails projects which may be located along any road or off road and (4) projects funded under the Federal Lands and Tribal Transportation Program (FLTTP) Some limited categories of funds may be granted directly to other Federal agencies tribal governments other State agencies or Local Public Agencies (LPAs) such as cities counties Metropolitan Planning Organizations (MPOs) and other political subdivisions States also may pass funds through to such agencies but the States retain overall stewardship responsibility

While each category of funds has individual eligibility requirements in general Federal-aid funds may be used for (1) surveying (2) engineering studies and design (3) environmental studies (4) right-of-way acquisition and relocation assistance (5) capital improvements classified as new construction or reconstruction (6) improvements for functional geometric or



safety reasons (7) 4R projects (restoration rehabilitation resurfacing and reconstruction) (8) preservation (9) planning research development and technology transfer (10) intelligent transportation systems projects (11) roadside beautification (12) vegetation management (13) wetland and natural habitat mitigation (14) traffic management and control improvements (15) improvements necessary to accommodate other transportation modes (16) development and establishment of transportation management systems (17) billboard removal (18) fringe and corridor parking (19) car pool and van pool projects (20) historic preservation and rehabilitation of historic transportation facilities (21) scenic and historic highway improvements (22) inspection and evaluation of bridges tunnels and other highway assets (23) asset management (24) construction of ferry boats ferry terminal facilities and approaches to such facilities (25) highway safety improvement projects (26) bicycle and pedestrian projects (27) transportation alternatives (28) recreational trails and (29) workforce development training and education These funds generally cannot be used for routine highway operational activities such as police patrols mowing snow plowing or maintenance unless it is preventative maintenance

Also certain authorizations (eg FLTTP National Highway Performance Program (NHPP) Surface Transportation Block Grant (STBG) Program or Congestion Mitigation and Air Quality (CMAQ) Improvement Program) may be used for improvements to transit CMAQ funds are for transportation projects and programs in air quality nonattainment and maintenance areas for ozone carbon monoxide and particulate matter which reduce transportation related emissions though provision is made for States without air quality issues ADHS projects are subject to the same standards specifications policies and procedures as other Federal-aid highway projects Eligibility criteria for the programs differ so program guidance should be consulted

Projects in urban areas of 50000 or more population must be based on a transportation planning process carried out by the MPOs in cooperation with the State and transit operators and be included in the metropolitan long-range plan and the Transportation Improvement Program for the area Projects in nonmetropolitan areas of a State must be consistent with the Statersquos Transportation Plan All Federal-aid projects must also be included in the approved Statewide Transportation Improvement Program (STIP) developed as part of the required statewide transportation planning process The Federal Highway Administration (FHWA) and Federal Transit Administration (FTA) must approve the STIP jointly

Prior to FY 2013 the ADHS was a cost-to-complete program (ie funding was provided over time to complete the approved initial constructionupgrading of the system) authorized by Section 201 of the Appalachian Regional Development Act of 1965 The Moving Ahead for Progress in the 21st Century Act (MAP-21) (Pub L No 112-141) did not provide dedicated funding for the ADHS but did make ADHS activities eligible under the NHPP and STBG programs The Fixing Americarsquos Surface Transportation (FAST) Act (Pub L 114-94) provided States through FY 2050 the authority to select a Federal share of up to 100 percent for the cost of constructing highways and access roads on the ADHS The Appalachian Regional Commission (ARC) has programmatic oversight responsibilities which include approval of the location of the corridors and of State-generated estimates of the cost to complete the ADHS The FHWA has project-level oversight responsibilities for the ADHS program If the location scope and character of proposed ADHS projects are in agreement with the latest approved cost-to-complete estimate and all Federal requirements have been satisfied FHWA authorizes the work with the



ADHS STBG andor NHPP funds FHWA provides oversight for the design and construction of the ADHS (23 USC 106(g)(5)(B))

The Federal Lands Access Program (FLAP) was established under the MAP-21 and continued under the Fixing Americarsquos Surface Transportation (FAST) Act (Pub L No 114-94) (23 USC 204) The program makes funds available for projects that provide access to are adjacent to or are located within Federal lands Priority is given to projects accessing high-use Federal recreation sites or Federal economic generators as identified by the Secretaries of the appropriate Federal land management agencies


The primary sources of program requirements are 23 USC (Highways) Implementing regulations are found in 23 CFR (Highways) and 49 CFR (Transportation) The ADHS program requirements are found in 40 USC (Public Building Property And Works)


FHWA program laws regulations and other general information can be found at httpwwwfhwadotgov and httpswwwfhwadotgovfastact


In developing the audit procedures to test compliance with the requirements for this Federal program the auditor must determine from the following summary (also included in Part 2 ldquoMatrix of Compliance Requirementsrdquo) which of the 12 types of compliance requirements have been identified as subject to the audit (noted with a ldquoYrdquo in the summary matrix below) and then determine which of the compliance requirements that are subject to the audit are likely to have a direct and material effect on the Federal program at the auditee For each such compliance requirement subject to the audit the auditor must use Part 3 (which includes generic details about each compliance requirement other than Special Tests and Provisions) and this program supplement (which includes any program-specific requirements) to perform the audit When a compliance requirement is shown in the summary below as ldquoNrdquo it has been identified as not being subject to the audit Auditors are not expected to test requirements that have been noted with an ldquoNrdquo See the Safe Harbor Status discussion in Part 1 for additional information



A B C E F G H I J L M N A

ctiv

ities

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llow

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wed

Allo

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ost

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cipl

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h M

anag

emen

t

Elig

ibili

ty

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pmen

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eal P

rope

rtyM

anag

emen

t

Mat

chin

gLe

vel o

f Eff

ort

Earm

arki

ng

Perio

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fPe

rfor

man

ce

Proc

urem

ent

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on amp

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arm

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onito

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s and

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ovis

ions

Y Y N N N N Y Y N Y Y Y


1 Federal funds can be used only to reimburse costs that are (a) incurred subsequent to the date of authorization to proceed except for certain property acquisition costs permitted under 23 USC 108 certain emergency repair work under 23 USC 125 and preliminary engineering under Section 1440 of the FAST Act (23 USC 121 note) (b) in accordance with the conditions contained in the project agreement and the plans specifications and estimates (PSampE) (c) allocable to a specific project and (d) claimed for reimbursement subsequent to the date of the project agreement (23 CFR sections 19 630106 630205 and 635112)

2 Federal funds can be used for administrative settlement costs incurred in defending contract claim proceedings before arbitration boards or State courts only if approved by FHWA for Federal-aid projects If special counsel is used it must be recommended by the State Attorney or State Department of Transportation (State DOT) legal counsel and approved in advance by FHWA (23 CFR section 140505)

3 ADHS funds may be used only for work included in the ADHS cost estimate approved by the ARC

4 FLTTP funds may be used for work on projects that provide access to or within Federal or Tribal lands (23 USC 201 through 204)



1 In general State DOTs and LPAs must award construction contracts on the basis of the lowest responsive bid submitted by a bidder meeting the contracting agencyrsquos criteria for responsibility Competitive bidding is required unless the contracting agency is able to demonstrate to FHWA that some other method is more cost effective or that an emergency exists (23 USC 112 (b)(1) 23 CFR sections 635104 and 635114) Contracting agencies also may procure



L

M

N

construction services through competitive proposals by using design-build contracts (23 USC 112(b)(3) 23 CFR part 636) or construction managergeneral contractor contracts (23 USC 112(b)(4))

2 For construction contracts bidding documents must be advertised for at least 3 weeks unless a shorter period is justified in the project files Recipients may not negotiate with the potential contractors during the time between bid opening and contract award (such negotiations would be noted in the contract files) Awards must be made to the lowest responsible bidder If the award was made to a bidder other than the low bidder then the project files must contain justification (23 CFR sections 635112(b) 635113 and 635114)

Reporting


a SF-270 Request for Advance or Reimbursement ndash Not Applicable

b SF-271 Outlay Report and Request for Reimbursement for Construction Programs ndash Not Applicable

c SF-425 Federal Financial Report ndash Not Applicable

d PR-20 Voucher for Work Under Provisions of the Federal-Aid and Federal Highway Acts as Amended (OMB No 2125-0507)


Not Applicable

3 Special Reporting

Not Applicable

Subrecipient Monitoring

State DOTs are required to determine whether subrecipients have sufficient accounting controls to properly manage such Federal-aid funds (23 USC 106(g)(4)(A))

Special Tests and Provisions


Compliance Requirements The Wage Rate Requirements are applicable to construction work on Federal-aid highways or on projects using ADHS or FLTTP funds These requirements apply to Federal-aid projects located within the right-of-way of a Federal-aid highway These requirements also apply to Federal-aid projects funded by the STBG program that are located outside the right-of-way of a Federal-aid highway including projects funded under the Transportation Alternatives Set-Aside (except for projects



funded under the Recreational Trails Program) FHWA has provided guidance on the applicability of these requirements at httpwwwfhwadotgovconstructioncontracts080625cfm (23 USC 113 and 40 USC 14701)


2 Use of Other State or Local Government Agencies

Compliance Requirements A State may use other public land acquisition organizations or private consultants to carry out the Statersquos authorities under 23 CFR section 710201(b) in accordance with a written agreement (23 CFR section 710201(h))

Audit Objectives Determine whether other public land acquisition organizations or private consultants are carrying out the Statersquos authorities under 23 CFR section 710201(b) in accordance with their agreements with the State


a Examine records and ascertain if other agencies were used for right-of-way activities on Federal-aid projects

b Review a sample of right-of-way agreements with other agencies

c Perform tests of selected right-of-way activities to other agencies to verify that they comply with the written agreement

3 Replacement of Publicly Owned Real Property

Compliance Requirements Federal funds may be used to reimburse the reasonable costs actually incurred for the functional replacement of publicly owned and publicly used real property provided that FHWA concurs that it is in the public interest The cost of increases in capacity and other betterments are not eligible except (1) if necessary to replace utilities (2) to meet legal regulatory or similar requirements or (3) to meet reasonable prevailing standards for the type of facility being replaced (23 CFR section 710509)

Audit Objectives Determine whether the functional replacement of real property was accomplished within FHWA requirements


a Ascertain if there were any functional replacements of publicly owned real property

b Verify that FHWA concurred in the Statersquos determination that the functional replacement is in the public interest



c Review a sample of transactions involving functional replacements and verify that the transactions were consistent with the FHWA requirements

4 Quality Assurance Program

Compliance Requirements A State DOT or LPA must have a quality assurance (QA) program approved by FHWA for construction projects on the NHS to ensure that materials and workmanship conform to approved plans and specifications Verification sampling must be performed by qualified testing personnel employed by the State DOT or by its designated agent excluding the contractor (23 CFR sections 637201 637205 and 637207)

Audit Objectives Determine whether the State DOT or LPA is following a QA program approved by FHWA


a Obtain an understanding of the recipientrsquos QA program

b Verify that the QA program has been approved by FHWA

c Review documentation of test results on a sample basis to verify that proper tests are being taken in accordance with the QA program

d Verify that verification sampling activities are performed by qualified testing personnel employed by the agency or by its designated agent excluding the contractor

5 Contractor Recoveries

Compliance Requirements When a State recovers funds from highway contractors for project overcharges due to bid-rigging fraud or anti-trust violations or otherwise recovers compensatory damages the Federal-aid project involved shall be credited with the Federal share of such recoveries (Tennessee v Dole 749 F2d 331 (6th Cir 1984) 57 Comp Gen 577 (1978) 47 Comp Gen 309 (1967))

Audit Objectives Determine whether the proper credit was made to the Federal share of a project when recoveries of funds are made


a Determine the extent to which the State has recovered overcharges and other compensatory damages on Federal-aid projects through appropriate interviews and a review of legal claim and cash receipt records

b Review a sample of cash receipts and verify that appropriate credit is reflected in billings to the Federal Government



6 Project Approvals

Compliance Requirements FHWA project approvalauthorization to proceed is required before costs are incurred for all phases or projects except for certain property acquisition costs permitted under 23 USC 108 certain emergency repair work under 23 USC 125 and preliminary engineering under Section 1440 of the FAST Act (23 USC 121 note) Based on the Stewardship and Oversight agreement between the State DOT and the FHWA Division office projects may be authorized under the authority in 23 USC 106(c) which allows the State DOT to assume responsibilities for designs plans specifications estimates contract awards and inspection of progress When FHWA authorizes a construction project or phase in a project agreement the State DOT may incur costs ie advertise for bids or use force account work (23 CFR sections 630205(c) 635112(a) 635204 and 635309)

Audit Objectives Determine whether project activities are started with required Federal approvals


a Review a sample of projects and identify dates of the necessary approvals authorizations and concurrences

b Identify dates that projects were advertised and contract or force account work was initiated and compare to the date of FHWArsquos project agreement

7 Value Engineering

Compliance Requirements State DOTs are required to establish a value engineering (VE) program and ensure that a VE analysis is performed on all applicable projects The program should include procedures to approve or reject recommendations and for monitoring to ensure that resulting approved recommendations are incorporated into the plans specifications and estimate Applicable projects are (a) projects located on the NHS with an estimated total project cost of $50 million or more that utilize Federal-aid highway program funding (b) bridge projects located on the NHS with an estimated total cost of $40 million or more that utilize Federal-aid highway program funding and (c) any other projects that the FHWA determines to be appropriate Projects utilizing the design-build method of construction do not require a VE analysis (23 USC 106(e)(5)) Critical elements of VE programs include identification of a State VE coordinator establishment of a VE policy and documented VE procedures including requirements to identify applicable projects verify required VE analyses are completed on State DOT and subrecipient projects and monitor assess and report on the performance of the VE program (23 USC 106(e) 23 CFR part 627)

Audit Objectives Determine whether established VE programs include VE policies and procedures documented analyses conducted for applicable projects evaluations of VE recommendations and incorporation of approved recommendations into the plans specifications and estimate for the project




a Verify that the State DOT established a VE program in accordance with Federal requirements

b Review a sample of applicable projects to ensure that a VE analysis was conducted recommendations were evaluated and approved recommendations were incorporated into the design of the project and that the results of the analysis and recommendations implemented were documented in accordance with the established VE programrsquos policies and procedures

8 Utilities

Compliance Requirements State DOTs are required to develop policies and procedures pertaining to the use accommodation andor relocation of public and private utility facilities on highway rights-of way using Federal-aid highway funds State DOTs are required to develop maintain and obtain FHWA approval of their Utility Accommodation Policy (UAP) (23 CFR section 645215) Expenses incurred for relocating utility facilities necessitated by highway construction projects using Federal-aid highway program funds are eligible for reimbursement from FHWA provided these costs were incurred in a manner consistent with State laws or FHWA regulations whichever is more restrictive (23 CFR section 645103(d))

Plans Specifications and Estimate (PSampE) packages for projects using Federal-aid highway program funds must have a utility agreement or statement verifying the appropriate coordination with all utilities on the project occurred prior to FHWA construction authorization Each agreement or statement should specify that the utility use and occupancy of the right-of-way or any required utility work will be completed prior to the highway construction or there were conditions specified allowing for the utility work to be coordinated with and completed in coordination with the highway construction schedule (23 CFR section 635309(b))

Utility agreements permits and supporting documentation define the conditions and provisions for accomplishing and reimbursing utility companies for utility relocation work that was required due to a Federal-aid highway program funded project The agreements and supporting documentation and the Federal requirements they reference require that

a There must be itemized cost estimates for the proposed utility work (23 CFR section 645113(c))

b The utility agreement was approved prior to the utility incurring any costs or conducting any work that would be eligible for reimbursement (23 CFR section 645113(g)(3))

c Reimbursement of utility costs will occur after the work is completed (23 CFR section 645107(a))



d The utility incurred the costs and billings submitted verifying the work was completed in accordance with the utility agreement (23 CFR section 645113(a-f) and 23 CFR section 645117) and

e Billed costs were eligible for reimbursement (23 CFR section 645117)

Audit Objectives Determine whether the agreements supporting documentation and reimbursement for the adjustment andor relocation of utility facilities on Federal-aid highway projects were accomplished in a manner which complies with State laws and FHWA regulations


a Verify that the State DOT has a current UAP approved by FHWA

b Review a sample of PSampE packages on projects using Federal-aid highway program funds to verify that there is a utility agreement or statement confirming that the appropriate coordination with all utilities on the project has occurred prior to FHWA construction authorization

c Review a sample of utility agreements and supporting documentation to verify required supporting material was prepared and that costs reimbursed met the requirements of the agreements

9 Administration of Engineering and Design-Related Service Contracts

Compliance Requirements In general State DOTs and LPAs must use qualifications-based selection procedures (Brooks Act) when acting as contracting agencies to procure engineering and design-related services from consultants and sub-consultants for projects using Federal-aid highway funds (23 USC 112(b)(2) 23 CFR part 172) Requirements applicable to engineering and design-related services contracts include

a Contracting agencies (State DOTs and LPAs) must have written policies and procedures for each method of procurement used to procure engineering and design services State DOT policies and procedures or recipient LPA policies and procedures must be approved by FHWA LPAs that are subrecipients may adopt written policies and procedures prescribed by the awarding State DOT or prepare and maintain their own written policies and procedures approved by the State DOT (23 CFR section 1725(b))

b Contracting agencies (State DOTs and LPAs) are required to accept the indirect cost rates for consultants and sub-consultants that have been established by a cognizant agency in accordance with the Federal Acquisition Regulation (48 CFR part 31) for 1-year applicable accounting periods if such rates are not currently under dispute Consultants and sub-consultants providing engineering and design-related services contracts must certify to contracting agencies that costs used to establish indirect cost rates are in compliance with the applicable cost principles contained in the Federal Acquisition Regulation (48 CFR part 31) by



submitting a ldquoCertificate of Final Indirect Costsrdquo (23 USC 112(b)(2)(C) 23 CFR section 17211(c)(3))

c Contracts for a consultant to act in a management support role on behalf of a contracting agency or subrecipient for engineering or design related services must be approved by FHWA before the consultant is hired unless an alternative approval procedure has been approved by FHWA (23 CFR section 1727(b)(5))

Audit Objectives Determine if consultants performing engineering and design-related services for projects using Federal-aid highway funding were procured using FHWA-approved qualifications-based selection procedures


a Verify that the State DOT or recipient LPA has written policies and procedures (usually in the form of a Consultant Manual) for procurement of engineering and design services and that those procedures have been approved by FHWA For subrecipient LPAs verify that they are using written policies and procedures prescribed by the awarding State DOT or that the subrecipientsrsquo written policies and procedures have been approved by the State DOT

b Verify that contracting agencies are accepting the appropriate indirect cost rates

c Verify that consultants and sub-consultants have submitted to the contracting agency a ldquoCertificate of Final Indirect Costsrdquo

d Verify that contracts for consultants acting in a management support role have been approved by FHWA or are covered by an FHWA-approved alternate procedure


August 2019 TIFIA DOT


CFDA 20223 TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION ACT (TIFIA) PROGRAM


The objective of the Transportation Infrastructure Finance and Innovation Act (TIFIA) program is to finance surface transportation projects of national or regional significance by filling market gaps and leveraging substantial public (non-Federal) and private co-investment TIFIA credit assistance is intended to facilitate the financing of projects that would otherwise have been significantly delayed because of funding limitations or difficulties in accessing the capital markets Federal credit assistance is provided to eligible highways and bridges transit rail intelligent transportation systems transit-oriented development rural infrastructure State infrastructural banks and intermodal freight projects including certain projects that provide access to ports


Public entities or private entities with public sponsorship seeking to finance the design and construction or reconstruction of eligible surface transportation projects may apply for TIFIA assistance The program targets large projects generally in excess of $50 million There are some exceptions to the minimum cost requirement which are (1) transit-oriented development local and rural projects which have minimum project costs of at least $10 million and (2) intelligent transportation systems with minimum project costs of at least $15 million The program offers three types of financial assistance featuring maturities up to 35 years after substantial completion of the project secured loans loan guarantees and standby lines of credit Projects must have a dedicated revenue source and be consistent with State and local transportation plans


This program is authorized by 23 USC 601 through 609 In addition 23 USC requirements apply for highway projects Chapter 53 of 49 USC requirements apply for transit projects and 49 USC 5333(a) requirements apply for rail projects


Information including program guidance and application instructions may be found on the TIFIA website at httpwwwtransportationgovtifia


In developing the audit procedures to test compliance with the requirements for this Federal program the auditor must determine from the following summary (also included in Part 2 ldquoMatrix of Compliance Requirementsrdquo) which of the 12 types of compliance requirements have been identified as subject to the audit (noted with a ldquoYrdquo in the summary matrix below) and then determine which of the compliance requirements that are subject



to the audit are likely to have a direct and material effect on the Federal program at the auditee For each such compliance requirement subject to the audit the auditor must use Part 3 (which includes generic details about each compliance requirement other than Special Tests and Provisions) and this program supplement (which includes any program-specific requirements) to perform the audit When a compliance requirement is shown in the summary below as ldquoNrdquo it has been identified as not being subject to the audit Auditors are not expected to test requirements that have been noted with an ldquoNrdquo See the Safe Harbor Status discussion in Part 1 for additional information


Act

iviti

es

Allo

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Una

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ed

Allo

wab

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Cos

tsC

ost

Prin

cipl

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h M

anag

emen

t

Elig

ibili

ty

Equi

pmen

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rope

rtyM

anag

emen

t

Mat

chin

gLe

vel o

f Eff

ort

Earm

arki

ng

Perio

d O

fPe

rfor

man

ce

Proc

urem

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Susp

ensi

on amp

Deb

arm

ent

Prog

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ortin

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ecip

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M

onito

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Spec

ial

Test

s and

Pr

ovis

ions




Eligible project activities are costs associated with the following

a Development phase activities including planning feasibility analysis revenue forecasting environmental review permitting preliminary engineering and design work and other pre-construction activities

b Construction reconstruction rehabilitation replacement and acquisition of real property (including land related to the project and improvements to land) environmental mitigation construction contingencies and acquisition of equipment While the acquisition of real property is an eligible cost under TIFIA such property must be physically or functionally related to the transportation project For transit projects the land must be reasonably necessary for the project including joint development projects and property must be physically or functionally related to the project (49 USC 5302(a)(1)(G) 49 CFR section 803)

c Capitalized interest necessary to meet market requirements reasonably required reserve funds capital issuance expenses and other carrying costs during construction Capitalized interest on TIFIA credit assistance may not be included as an eligible project cost



d For a transit project costs must also meet the definition of a transit capital project found at 49 USC 5302(a)(1) (23 USC 601 (a))


TIFIA administrative charges associated with the application process for TIFIA credit assistance such as application fees transaction fees loan servicing fees and credit monitoring fees are not eligible project costs (49 CFR section 805(b))



In general recipients must use qualifications-based selection procedures (Brooks Act) when acting as contracting agencies to procure engineering and design-related services for construction of a transit project The requirements applicable to engineering and design-related services contracts also require that instead of performing their own audits of engineering and design contractors contracting agencies must accept indirect cost rates that have been established in accordance with the Federal Acquisition Regulation (48 CFR part 31) by a cognizant Federal or State agency for 1-year applicable accounting periods if such rates are not currently under dispute (49 USC 5325(b)) (see IIIN2 ldquoSpecial Tests and Provisions - Administration of Engineering and Design-Related Service Contractsrdquo for highway projects)



Compliance Requirements The provisions of the Wage Rate Requirements apply to projects receiving TIFIA assistance (49 USC 5333(a))



Compliance Requirements In general State DOTs and LPAs must use qualifications- based selection procedures (Brooks Act) when acting as contracting agencies to procure engineering and design-related services from consultants and sub-consultants for projects using Federal-aid highway funds (23 USC 112(b)(2) 23 CFR part 172) Requirements applicable to engineering and design-related services contracts include

a Contracting agencies (State DOTs and LPAs) must have written policies and procedures for each method of procurement used to procure engineering and design services State DOT policies and procedures or recipient LPA policies and procedures must be approved by FHWA LPAs that are subrecipients may adopt written policies and procedures prescribed by the awarding State DOT or prepare and maintain their own written policies and procedures approved by the State DOT (23 CFR section 1725(c))



b Contracting agencies (State DOTs and LPAs) are required to accept the indirect cost rates for consultants and sub-consultants that have been established by a cognizant agency in accordance with the Federal Acquisition Regulation (48 CFR part 31) for 1-year applicable accounting periods if such rates are not currently under dispute Consultants and sub-consultants providing engineering and design-related services contracts must certify to contracting agencies that costs used to establish indirect cost rates are in compliance with the applicable cost principles contained in the Federal Acquisition Regulation (48 CFR part 31) by submitting a ldquoCertificate of Final Indirect Costsrdquo (23 USC 112(b)(2)(C) 23 CFR section 17211)


Audit Objectives Determine if consultants performing engineering and design-related services for projects using Federal-aid highway funding were procured using FHWA- approved qualifications-based selection procedures


a Verify that the State DOT has written policies and procedures (usually in the form of a Consultant Manual) for procurement of engineering and design services and that those procedures have been approved by FHWA For subrecipients (LPAs) verify that they are using written policies and procedures prescribed by the awarding State DOT or that the subrecipientsrsquo written policies and procedures have been approved by the State DOT





August 2019 High-Speed Intercity Passenger Rail DOT


CFDA 20319 HIGH-SPEED RAIL CORRIDORS AND INTERCITY PASSENGER RAIL SERVICE ndash CAPITAL ASSISTANCE GRANTS


The High-Speed Intercity Passenger Rail (HSIPR) Program is intended to develop and expand high-speed and intercity passenger rail service in the United States The objectives of this program are twofold In the long-term the program aims to build an efficient high-speed passenger rail network connecting major population centers that are 100 to 600 miles apart In the near-term the program will begin to lay the foundation for this high-speed passenger rail network by investing in intercity passenger rail infrastructure equipment and intermodal connections


The HSIPR Program is funded both through annual appropriations and the American Recovery and Reinvestment Act of 2009 (ARRA) (Pub L No 111-5 123 Stat 208) under the title ldquoCapital Assistance for High Speed Rail Corridors and Intercity Passenger Rail Servicerdquo Funding under the HSIPR Program is advanced along four funding tracks in order to both aid in the near-term economic recovery efforts intended under ARRA and to establish the path to realize a fully-developed national high-speed intercity passenger rail network Track 1 ndash Projects will fund ldquoready-to-gordquo construction projects and the completion of project-level environmental and preliminary engineering documents necessary to prepare projects for construction Track 2 ndash Programs will fund sets of inter-related projects that constitute the entirety or a distinct phase (or geographic section) of a long-range service development plan Track 3 ndash Planning is aimed at helping establish a ldquopipelinerdquo of future high-speed railintercity passenger rail projects and service development programs by advancing planning activities for applicants at an earlier stage of the development process Track 4 ndash Fiscal Year (FY) 2009FY 2008 Appropriations Projects provide an alternative for projects that would otherwise fit under Track 1

Depending on the specific funding track applied for States (including the District of Columbia) groups of States interstate compacts public agencies established by one or more States and having responsibility for providing high-speed rail service or intercity passenger rail service and Amtrak are eligible for HSIPR Program grants Applicants must provide documents that demonstrate the status of all agreements with relevant stakeholders involved in the particular construction investment including interstate partners host railroads right-of-way owners and the contract railroad operator providing service


The HSIPR Program consolidates the following recently authorized and closely related programs

1 High-Speed Rail Corridor Development program (49 USC 26106)



2 Intercity Passenger Rail Service Corridor Capital Assistance program (49 USC Chapter 244)

3 Congestion Grants program (49 USC 24105)

4 Fiscal Year 2009 Capital Assistance to States ndash Intercity Passenger Rail Service Program (Pub L No 111-8 (123 Stat 934)) and

5 Fiscal Year 2008 Capital Assistance to States ndash Intercity Passenger Rail Service Program (Pub L No 110-161 (121 Stat 2393))

The funding appropriated under ARRA is for the programs authorized in 49 USC 26106 49 USC Chapter 244 and 49 USC 24105 while the funding provided from the FY 2008 and FY 2009 appropriations acts is governed under provisions unique to those two pieces of legislation The Notice of Funding Availability for High-Speed Intercity Passenger Rail (ldquoHSIPRrdquo) Program (Program Notice) June 23 2009 Federal Register 74 FR 29900 describes the interim program guidance applicable to the program


Additional information about the HSIPR Program is available on the Federal Railroad Administration (FRA) website at httpwwwfradotgovPageP0140 Included on the FRA website are two documents mandated under ARRA The High-Speed Rail Strategic Plan and interim program guidance The strategic plan outlines the initial vision for the program the interim guidance builds upon the strategic plan by detailing the application requirements and procedures for obtaining funding under the program






ctiv

ities

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Allo

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cipl

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Cas

h M

anag

emen

t

Elig

ibili

ty

Equi

pmen

t R

eal P

rope

rtyM

anag

emen

t

Mat

chin

gLe

vel o

f Eff

ort

Earm

arki

ng

Perio

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fPe

rfor

man

ce

Proc

urem

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Susp

ensi

on amp

Deb

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ortin

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Subr

ecip

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M

onito

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Spec

ial

Test

s and

Pr

ovis

ions




ARRA (Tracks 1 and 2)

a Activities funded under Track 1 must be eligible under the Intercity Passenger Rail Service Corridor Capital Assistance program (49 USC chapter 244) or the Congestion Grants program (49 USC 24105) and include

(1) Acquiring constructing improving or inspecting equipment track and track structures or a facility for use in or for the primary benefit of Intercity Passenger Rail service including High-Speed Rail expenses incidental to the acquisition or construction (including designing engineering location surveying mapping inspecting environmental studies and acquiring rights-of-way) payments for the capital portions of rail trackage rights agreements highway-rail grade crossing improvements related to Intercity Passenger Rail service mitigating environmental impacts communication and signalization improvements and relocation assistance acquiring replacement housing sites and acquiring constructing relocating and rehabilitating replacement housing

(2) Rehabilitating remanufacturing or overhauling rail rolling stock and facilities used primarily in Intercity Passenger Rail service and

(3) Projects to provide access to Intercity Passenger Rail service rolling stock for non-motorized transportation including bicycles and recreational equipment and to provide storage capacity in intercity passenger trains for such transportation equipment and other luggage to ensure passenger safety (see Section 351 of the Program Notice (74 FR 29910))



b Activities funded under Track 2 must be eligible under the High- Speed Rail Corridor Development program (49 USC 26106) or the Intercity Passenger Rail Service Corridor Capital Assistance program (49 USC chapter 244) and include

(1) Activities 1 through 3 listed above under Track 1 and

(2) Acquiring constructing improving or inspecting equipment track and track structures or a facility for use in or for the primary benefit of High-Speed Rail service expenses incidental to the acquisition or construction (including designing engineering location surveying mapping environmental studies and acquiring rights-of-way) payments for the capital portions of rail trackage rights agreements highway-rail grade crossing improvements related to High- Speed Rail service mitigating environmental impacts communication and signalization improvements and relocation assistance acquiring replacement housing sites and acquiring constructing relocating and rehabilitating replacement housing (see Section 352 of the Program Notice (74 FR 29910))


Fiscal Year 2009 and 2008 appropriations acts (Tracks 3 and 4)

a Activities funded under Track 3 must be eligible under the provisions of the FY 2009 and FY 2008 Capital Assistance to States ndash Intercity Passenger Rail Service programs (Pub L No 111-8 and Pub L No 110- 161 respectively) and include planning studies thatmdash

(1) Lead to the completion of a service development plan to support future applications for projects under Track 2

(2) Identify and compare the costs benefits and impacts of a range of transportation alternatives including High-Speed Rail andor Intercity Passenger Rail as a means of providing decision makers with the information necessary to implement appropriate transportation solutions

(3) Support the preparation of environmental documents that are prerequisite to the fulfillment of ldquoservicerdquo NEPA studies and

(4) Consist of operational analyses and simulations and projections of future service requirements leading to systematic and rational priority lists of projects that could be eligible for funding under the Intercity Passenger Rail Service Corridor Capital Assistance program (49 USC chapter 244) or the Congestion Grants program



(49 USC 24105) and could ultimately contribute to service development plans (see Section 352 of the Program Notice (74 FR 29911))

b Activities funded under Track 4 must be eligible under the provisions of the FY 2009 and FY 2008 Capital Assistance to States ndash Intercity Passenger Rail Service programs (Pub L No111-8 and Pub L No110- 161 respectively) and include

(1) Acquiring constructing or improving equipment track and track structures or a facility for use in or for the primary benefit of Intercity Passenger Rail service including High-Speed Rail service

(2) Expenses incidental to the acquisition or construction (including designing engineering location surveying mapping environmental studies and acquiring rights-of-way)

(3) Highway rail grade crossing improvements related to Intercity Passenger Rail service

(4) Mitigating environmental impacts

(5) Communication and signalization improvements and

(6) Rehabilitating remanufacturing or overhauling rail rolling stock and facilities used primarily in Intercity Passenger Rail service (see Section 352 of the Program Notice (74 FR 29911))


In no case are Federal funds awarded under the HSIPR Program eligible to be used for rail operating expenses associated with the operation of intercity passenger rail service or for first-dollar liability costs for insurance related to the provision of intercity passenger rail service (49 USC 24404 June 23 2009 Federal Register (74 FR 29916))

H Period of Performance

Funding for grants under ARRA must be expended by September 30 2017 (ARRA 123 Stat 208 June 23 2009 Federal Register (74 FR 29916))


See Part 4 20000 DOT Cross-Cutting Section



L Reporting






Not Applicable

3 Special Reporting

Not Applicable



Compliance Requirements Two provisions related to the Wage Rate Requirements are included in ARRA The first requires that funded projects comply with the requirements of 40 USC 3141ndash3144 3146 and 3147 The second provides that 49 USC 24405 shall also apply to the funded projects The first provision mandates compliance with the Wage Rate Requirements generally The second provision also mandates compliance the Wage Rate Requirements through 49 USC 24405(c) which provides that the Secretary of Transportation shall require as a condition of making any grant that uses rights-of-way owned by a railroad that the applicant agree to comply with the standards of 49 USC 24312 with respect to the project in the same manner that Amtrak is required to comply with those standards for construction work financed under an agreement made under 49 USC 24308(a) 49 USC 24312 provides that Amtrak shall ensure that laborers and mechanics employed by contractors and subcontractors in construction work financed under an agreement made under 49 USC 24308 will be paid wages not less than those prevailing on similar construction in the locality as determined by the Secretary of Labor under 40 USC 3141ndash3144 3146 and 3147 and that wages in a collective bargaining agreement negotiated under the Railway Labor Act are deemed to comply with 40 USC 3141ndash3144 3146 and 3147 49 USC 24308 authorizes Amtrak to enter into agreements with rail carriers or regional transportation authorities to use facilities of and have services provided by the carrier or authority under terms on which the parties agree

FRA has concluded that the two Wage Rate Requirements can be reconciled in a manner that allows the HSIPR Program to be implemented in a way that is both reasonable and consistent with current practices For projects that use or propose to use rights-of-way owned by a railroad the specific provisions of 49 USC 24405(c) apply and recipients are



required to comply with the standards of 49 USC 24312 (prevailing wages) in the same manner that Amtrak is required to comply with those standards for construction projects it might undertake Wages specified in a collective bargaining agreement negotiated under the Railway Labor Act would be deemed to comply with Wage Rate Requirements for these projects For projects that do not propose to use rights-of-way owned by a railroad normal Wage Rate Requirements apply and there would be no specific exemption for wages arrived at through a collective bargaining agreement negotiated under the Railway Labor Act Wage rates on these projects would have to meet the Secretary of Laborrsquos prevailing wage standards as described above (see June 23 2009 Federal Register (74 FR 29927))



August 2019 Federal Transit Cluster DOT


CFDA 20500 FEDERAL TRANSIT ndash CAPITAL INVESTMENT GRANTS (Fixed Guideway Capital Investment Grants)

CFDA 20507 FEDERAL TRANSIT ndash FORMULA GRANTS (Urbanized Area Formula Program)

CFDA 20525 STATE OF GOOD REPAIR GRANTS PROGRAM

CFDA 20526 BUS AND BUS FACILITIES FORMULA amp DISCRETIONARY PROGRAMS (Bus Program)


Urbanized Area Formula Program (Section 5307)

The objective of the Urbanized Area Formula Program (5307 program) is to assist in financing the planning acquisition construction preventive maintenance and improvement of facilities and equipment in public transportation services Operating expenses are also eligible under the 5307 program in urbanized areas with populations of less than 200000 and under some limited exceptions to some urbanized areas with population of 200000 and above

Fixed Guideway Capital Investment Grants (Section 5309)

The objective of the Fixed Guideway Capital Investment Grants program (5309 program) is to provide funds for construction of new or extended fixed guideway systems corridor-based bus rapid transit systems and core capacity improvement projects that increase capacity by at least 10 percent in existing fixed guideway corridors that are at capacity today or will be in 5 years In addition the Pilot Program for Transit-Oriented Development (TOD) Planning provides funding for corridor-level comprehensive planning activities conducted in conjunction with the development of Section 5309 Fixed Guideway Capital Investment Grant program projects

State of Good Repair Grants Program (Section 5337)

The objective of the State of Good Repair Grants Program (5337 program) is to provide financial assistance for maintaining rehabilitating and replacing transit assets for fixed guideway transit systems and high-intensity motor bus systems

Bus Program (Section 5339)

The objective of the Bus Program (5339 program) is to provide financial assistance to replace rehabilitate and purchase buses and related equipment as well as construct bus-related facilities through both formula and competitive selection procedures The Bus program includes three tiers The 5339 formula tier provides funds based on population ridership and vehicle mileage The 5339(b) portion of the bus program is dedicated to a discretionary competition for buses bus facilities and bus related equipment The 5339(c) portion of the bus program is dedicated to the



Low or No Emissions discretionary competitions for low or no emissions buses bus facilities and bus related equipment


Federal transit law under Chapter 53 of Title 49 US Code authorizes the Urbanized Area Formula Program (49 USC 5307 including the competitive Passenger Ferry Program) the Capital Investment Grants Program (49 USC 5309) the Grants for Buses and Bus Facilities Program (49 USC 5339 including the Grants for Buses and Bus Facilities formula program (5339(a)) the competitive buses and bus facilities program (5339(b)) and the Low or No Emission Grants Program (5339(c))) and the State of Good Repair Grants Program (49 USC 5337) The Pilot Program for TOD Planning is authorized by Section 20005(b) of the Moving Ahead for Progress in the 21st Century Act (MAPndash21 Pub L 112ndash141 July 6 2012)

Grants are awarded to public agencies on approval of applications for specific programs or projects submitted to the Federal Transit Administration (FTA) FTA monitors the progress of those projects through on-site inspections telephone contacts correspondence quarterly progress and financial status reports and where applicable Triennial Reviews

FTA is required to perform reviews and evaluations of 49 USC 5307 grant activities at least every 3 years The most recent FTA Triennial Review Workshop Workbook provides guidance to FTA staff and recipients on the conduct of triennial reviews and is available at httpswwwtransitdotgovsitesftadotgovfilesdocsoversight-policy-areas56711fy18-comprehensive-review-guidepdf These reviews are conducted with specific reference to compliance with statutory and administrative requirements and consistency of program activities with (1) the approved program of projects and (2) the planning process required under 49 USC 5303 Copies of these triennial reviews are available from the regional offices Regional office addresses and telephone numbers are available on the FTA website listed below


The programs in this cluster are authorized by 49 USC 5307 5309 5337 and 5339 Program regulations are at 49 CFR parts 601 through 665


Additional information is available on the FTA website at httpwwwftadotgov


In developing the audit procedures to test compliance with the requirements for this Federal program the auditor must determine from the following summary (also included in Part 2 ldquoMatrix of Compliance Requirementsrdquo) which of the 12 types of compliance requirements have been identified as subject to the audit (noted with a ldquoYrdquo in the summary matrix below) and then determine which of the compliance requirements that are subject to the audit are likely to have a direct and material effect on the Federal program at the auditee For each such compliance requirement subject to the audit the auditor must use Part 3 (which includes generic details about each compliance requirement other than



Special Tests and Provisions) and this program supplement (which includes any program-specific requirements) to perform the audit When a compliance requirement is shown in the summary below as ldquoNrdquo it has been identified as not being subject to the audit Auditors are not expected to test requirements that have been noted with an ldquoNrdquo See the Safe Harbor Status discussion in Part 1 for additional information


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t

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ty

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rope

rtyM

anag

emen

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chin

gLe

vel o

f Eff

ort

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arki

ng

Perio

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rfor

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ce

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urem

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ensi

on amp

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ent

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ram

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com

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ortin

g

Subr

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ient

M

onito

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Spec

ial

Test

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Pr

ovis

ions

Y Y Y N N N Y Y N N Y N



a Generally under all programs unless otherwise specified below capital activities as defined in 49 USC 5302(3) are eligible activities including preventive maintenance and certain expenses related to crime prevention and security (49 USC 5307(a) 5309(b) 5337(b) and 5339(a))

b Under the 5307 program for projects awarded before October 1 2012 operating expenses related to the conduct of emergency response drills with public transportation agencies and local first-response agencies and security training for public transportation employees are eligible capital expenses (49 USC 5302(a)(1)(J))

c Under the 5307 program operating assistance for all urbanized areas under 200000 population and certain larger urbanized areas under limited exceptions and planning for all urbanized areas (49 USC 5307(a)(2))

d Under the 5307 program human resources and workforce development activities including training and training provided at the National Transit Institute or through a State-contracted training provider (see IIIG3b ldquoMatching Level of Effort Earmarking ndash Earmarkingrdquo below) (49 USC 5314 (b) and (c))

e Under the 5337 program the only capital projects authorized are projects that implement a transit asset management plan and projects that maintain



rehabilitate and replace assets for high intensity fixed guideway and motorbus systems in a state of good repair (49 USC 5337(b))

f Under the 5339 program the only capital projects authorized are bus bus facilities and bus-related equipment projects (49 USC 5339(a))

g Under the 5339 program workforce development (49 USC 5314(b))

h Under the 5309 program for projects awarded before October 1 2012 the only capital projects authorized are those for

(1) bus and bus facilities

(2) new fixed guideways including Small Starts

(3) fixed guideway modernization or

(4) corridor improvements (49 USC 5309(b)(1) through (b)(4))

i Under the 5309 program for projects awarded on or after October 1 2012 the only capital projects authorized are those for

(1) new or extended fixed guideway capital projects

(2) corridor-based bus rapid transit projects or

(3) core capacity improvement projects (49 USC 5309(b))

j Under the 5309 program for projects awarded under the Pilot Program for TOD Planning only comprehensive planning associated with a Section 5309 project is allowable (Section 20005(b) of MAP-21)


a Under the 5309 and 5337 programs the following

(1) Mobility management

(2) Operating expenses and

(3) Alternatives analysis including planning with funds appropriated after FY 2005 (49 USC 5309(b) and 5337)

b Under the 5307 program operating assistance in areas over 200000 unless under certain limited exceptions (49 USC 5307(a)(2))

c Under the 5339 program preventive maintenance and rail-related activities (49 USC 5339)





Recipients must use qualifications-based selection procedures (Brooks Act or an equivalent qualifications-based requirement of a State) when acting as contracting agencies to procure engineering and design-related services for construction of a transit project (49 USC 5325(b)(1))


August 2019 Formal Grants for Rural Areas DOT


CFDA 20509 FORMULA GRANTS FOR RURAL AREAS


The objectives of the Formula Grants for Rural Areas (Section 5311) program are to initiate improve or continue public transportation service in rural areas by providing financial assistance for operating planning administrative expenses and the acquisition construction and improvement of facilities and equipment In addition Section 5311(f) specifically provides for the support of rural intercity bus service The Rural Transit Assistance Program (RTAP) Section 5311(b)(3) provides additional funding for training technical assistance research and related support services to support rural transit service


A State Agencies

The Federal Transit Administration (FTA) annually publishes formula apportionments to the States in a Federal Register notice published within 10 days after the Department of Transportation (DOT) Appropriations Act is signed into law The Governor of each State designates a State agency to administer the program The State is responsible for fair distribution of the funds in the State including Indian reservations The State may also provide transit service directly or through contracts with private operators The State describes its procedures for administering the program in a State management plan The State applies to FTA for approval of a program of projects usually annually and reports annually to FTA on financial status and revisions to the program of projects The State agency may be the recipient on behalf of Indian tribes that are subrecipients but federally recognized tribes may also elect to apply to FTA as a direct recipient FTA monitors compliance with Federal requirements through administrative ldquoState Management Reviewsrdquo generally every 3 years

B Appalachian Development Public Transportation Assistance Program

The Appalachian Development Public Transportation Assistance Program is a formula program under the Section 5311 program that provides additional funding to support public transportation in the Appalachian region There are 13 eligible States that receive an allocation under this provision Recipients may use these funds for any purpose that is eligible under Section 5311

C Tribal Transit Program

The Tribal Transit Program (TTP) under the 5311 program includes both formula and discretionary components Federally recognized Indian tribes are eligible direct recipients and apply directly to FTA Under the discretionary program funds are made available annually on a competitive basis Recipients of TTP funds may use these funds for any purpose that is eligible under Section 5311



D Subrecipients

Except for the TTP the State selects subrecipients and monitors their compliance with Federal requirements FTA does not directly monitor the subrecipients but checks the Statersquos procedures for monitoring subrecipients during the State Management Review The State may impose program criteria in addition to those imposed by the FTA and may require additional reports from subrecipients These State requirements are included in the State Management Plan


This program is authorized by 49 USC 5311 Program regulations are in 49 CFR parts 601 through 665 Note that certain exceptions or dollar thresholds in these rules may exclude many rural transit activities In referring to the program FTA uses the term ldquoruralrdquo to include both rural and small urban areas (all areas not included in the urbanized areas designated by the US Bureau of the Census)


Information about the program may be found on the FTA website at httpwwwftadotgov Program Guidance and Application Instructions are contained in FTA Circulars which may be found on the website






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onito

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ial

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s and

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ovis

ions

Y Y Y N Y N N Y N N Y N



a Local transportation service (transit service available to the public) in a rural area (49 USC 5311(d))

b Support of intercity bus transportation (49 USC 5311(f))

c Coordination of public transportation assisted under this section with transportation service assisted by other United States Government sources is permitted and encouraged (49 USC 5311(b))

d Planning operating and capital projects (49 USC 4911(b)(1))

e Job access and reverse commute projects and the acquisition of public transportation services including service agreements with private providers of public transportation (49 USC 5311(b)(1))

f RTAP funds may be used to provide training technical assistance research and related support services for providers of rural public transit and related services (49 USC 5311(b)(3))






August 2019 Transit Services Programs Services DOT


CFDA 20513 ENHANCED MOBILITY OF SENIORS AND INDVIDUALS WITH DISABILITIES

CFDA 20516 JOB ACCESS AND REVERSE COMMUTE PROGRAM

CFDA 20521 NEW FREEDOM PROGRAM


Enhanced Mobility of Seniors and Individuals with Disabilities (5310 program)

The objective of the 5310 formula and discretionary program is to enhance mobility for seniors and persons with disabilities by providing funds for programs that serve the special needs of transit-dependent populations beyond traditional public transportation services and Americans with Disabilities Act (ADA) complementary paratransit services

Job Access and Reverse Commute (JARC) Program

The objectives of the JARC Program are to improve access to transportation services to employment and employment-related activities for welfare recipients and eligible low-income individuals and to transport residents of urbanized areas and nonurbanized areas to suburban employment opportunities Under this program FTA provides financial assistance for transportation services planned designed and carried out to meet the transportation needs of welfare recipients and eligible low-income individuals and of reverse commuters regardless of income

New Freedom Program

The New Freedom Program aims to provide additional tools to overcome barriers facing Americans with disabilities seeking integration into the work force and full participation in society Lack of adequate transportation is a primary barrier to work for individuals with disabilities The New Freedom Program seeks to reduce barriers to transportation services and expand the transportation mobility options available to people with disabilities beyond the requirements of the ADA


The Moving Ahead for Progress in the 21st Century Act (MAP-21) (Pub L No 112-141) combined the Capital Assistance Program for Elderly Persons and Persons with Disabilities (CFDA 20513) and the New Freedom Program (CFDA 20521) into the 5310 program

Effective with the passage of MAP-21 the JARC and New Freedom Programs were repealed and no additional grants were awarded Section 3006(b) of the Fixing Americarsquos Surface Transportation (FAST) Act (Pub L No 114-94) (49 USC 5310 note) created a discretionary component to the previously formula-only Section 5310 program This pilot program for innovative coordinated access and mobility provides funding for efforts that improve the



coordination of transportation services with non-emergency medical care for the transportation disadvantaged Funding is intended for organizations that focus on coordinated transportation solutions

FTA annually publishes formula apportionments in a Federal Register notice published within 10 days after the Department of Transportation (DOT) Appropriations Act is signed into law In the case of the 5310 program the Governor of each State designates a State agency to administer the program In addition the Governor of each State is required to designate a State agency to administer the program for urbanized areas with a population between 50000 and 199999 and nonurbanized areas The Governor must also designate a designated recipient to administer the program for urbanized areas with a population of 200000 or more In the case of the JARC and New Freedom Programs the Governor (1) designated a State agency to administer the program in nonurbanized areas and in urbanized areas with populations between 50000 and 199999 and (2) in consultation with responsible local officials and public transportation providers designated a recipient to administer the program for the large urbanized area(s) The State agencies and designated recipients (large urbanized areas) are responsible for fair distribution of the funds State agencies or their designated recipients must describe their procedures for administering the program in a State management plan (SMP) or for those JARC and New Freedom designated recipients serving large urbanized areas a program management plan (PMP)

State agencies and designated recipients apply to FTA for approval of a program of projects usually annually and report annually to FTA on financial status and revisions to their program of projects Federal transit law requires that projects selected for funding under the 5310 JARC and New Freedom Programs be included in a locally developed coordinated public transit- human services transportation plan and that the plan be developed through a process that includes seniors and individuals with disabilities as well as representatives of public private and non-profit transportation and human services providers and members of the general public

FTA monitors compliance with Federal requirements through administrative ldquoState Management Reviewsrdquo in which a State agency is generally reviewed every 3 years Designated recipients who also receive FTA financial assistance under the Urbanized Area Formula Program (CFDA 20507) are also subject to an FTA ldquoTriennial Reviewrdquo

Subrecipients

State agencies and designated recipients select subrecipients and monitor their compliance with Federal requirements FTA does not directly monitor the subrecipients but checks the State agency and designated recipientrsquos procedures for monitoring during the State Management Review and Triennial Review The State agency and designated recipient may impose program criteria in addition to those imposed by FTA and may require additional reports from subrecipients These State and designated recipientrsquos requirements are included in the SMP or PMP


The 5310 formula program is authorized by 49 USC 5310 the pilot program for innovative coordinated access and mobility is authorized by Section 3006(b) of the FAST Act (49 USC



5310 note) the JARC Program was authorized by 49 USC 5316 and the New Freedom Program was authorized by 49 USC 5317 Program regulations are in 49 CFR parts 601 through 665


Additional information about the programs may be found on the FTA website at httpswwwtransitdotgovfundinggrantsgrant-programs Program guidance for the JARC New Freedom and 5310 Programs are contained in FTA Circulars 90501 90451 and 90701 respectively The circulars can be found at the httpswwwtransitdotgovregulations-and- guidancefta-circularsfinal-circulars




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f Eff

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Perio

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on amp

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Subr

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onito

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Spec

ial

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s and

Pr

ovis

ions



1 Under the 5310 program

a For awards prior to October 1 2012 funds are available only for capital expenses (and associated administrative planning and technical assistance) to support the provision of transportation services to meet the



2

3

4

5

special needs of elderly individuals and individuals with disabilities Operating expenses are not allowed

b For awards on or after October 1 2012 funds are available for operating and capital expenses for transportation services that address the needs of seniors and individuals with disabilities (49 USC 5310(b)(1))

Under the JARC Program funds may be used for capital planning and operating expenses (and associated administrative planning and technical assistance) that support access to jobs and reverse commute projects (49 USC 5316(b))

ldquoAccess to jobsrdquo projects are defined as projects relating to the development and maintenance of transportation services designed to transport welfare recipients and eligible low-income individuals to and from jobs and activities related to their employment including

a Transportation projects to finance planning capital and operating costs of providing access to jobs under Chapter 53 of 49 USC

b Promoting public transportation by low-income workers including the use of public transportation by workers with non-traditional work schedules

c Promoting the use of transit vouchers for welfare recipients and eligible low-income individuals and

d Promoting the use of employer-provided transportation including the transit pass benefit program under section 132 of the Internal Revenue Code of 1986 as amended (49 USC 5316(a)(1))

ldquoReverse commuterdquo projects are defined as public transportation projects designed to transport residents of urbanized areas and other-than-urbanized areas to suburban employment opportunities including any projects to

a Subsidize the costs associated with adding reverse commute bus train carpool van routes or service from urbanized areas and other-than- urbanized areas to suburban workplaces

b Subsidize the purchase or lease by a non-profit organization or public agency of a van or bus dedicated to shuttling employees from their residences to a suburban workplace or

c Otherwise facilitate the provision of public transportation services to suburban employment opportunities (49 USC 5316(a)(4))

Under the New Freedom Program funds are available for capital and operating expenses (and associated administrative planning and technical assistance) that support new public transportation services beyond those required by the ADA and new public transportation alternatives beyond those required by the ADA



designed to assist individuals with disabilities with accessing transportation services including transportation to and from jobs and employment support services (49 USC 5317(b)(1))






August 2019 Emergency Transportation Relief Program DOT


CFDA 20527 PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM


The objective of the Public Transportation Emergency Relief Program (49 USC 5324) is to assist public transit operators affected by a declared emergency or a major disaster in preparing for responding to recovering from and reducing vulnerabilities to emergencies and major disasters


The Public Transportation Emergency Relief Program provides operating assistance and capital funding to aid recipients and subrecipients in restoring public transportation service and in repairing and reconstructing public transportation assets to a state of good repair as expeditiously as possible following an emergency declared by a Governor or major disaster declared by the President under the Robert T Stafford Disaster Relief and Emergency Assistance Act

Grants are awarded to public agencies on approval of applications for specific projects submitted to the Federal Transit Administration (FTA) US Department of Transportation FTA monitors the progress of those projects through on-site inspections telephone contacts correspondence and quarterly progress and financial status reports

FTA determines the terms and conditions applicable to recipients of Emergency Relief funds and publishes the applicable requirements in the Federal Register at the time of the allocation of funds In general recipients of Emergency Relief are required to comply with the program requirements of 49 USC 5307 including an evaluation of grant activities at least every 3 years by FTA The most recent FTA Triennial Review Workshop Workbook provides guidance to FTA staff and recipients on the conduct of triennial reviews and is available at httpswwwtransitdotgovfundinggrantee-resourcestriennial-reviewstriennial-reviews These reviews are conducted with specific reference to compliance with statutory and administrative requirements and consistency of program activities with (1) the approved program of projects and (2) the planning process required under 49 USC 5303 Copies of these triennial reviews are available from the regional offices Regional office addresses and telephone numbers are available on the FTA website listed below

Grants for emergency operations emergency protective measures emergency repairs permanent repairs and resiliency projects are made under 49 USC 5324 Grants to address an emergency also can be made using 49 USC 5307 or 49 USC 5311 funds


The Public Transportation Emergency Relief Program is authorized by 49 USC 5324 Program regulations are at 49 CFR part 602 Applicable program requirements associated with the Federal transit programs are at 49 CFR parts 601 through 665




Additional information is available on the FTA website at httpwwwftadotgovemergencyrelief




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Perio

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on amp

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ial

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Pr

ovis

ions




a Capital activities as defined in 49 USC 5302(3) to protect repair reconstruct or replace equipment and facilities of a public transportation system operating in the United States or on an Indian reservation that the Secretary of Transportation determines are in danger of suffering serious damage or has suffered serious damage as a result of an emergency (49 USC 5324(b))

b Eligible operating costs of public transportation equipment and facilities in an area directly affected by an emergency relating to



(1) Evacuation services

(2) Rescue operations

(3) Temporary public transportation service or

(4) Reestablishing expanding or relocating public transportation route service before during or after an emergency (49 USC 5324(a)(1))






August 2019 Highway Safety Cluster DOT


CFDA 20600 STATE AND COMMUNITY HIGHWAY SAFETY

CFDA 20601 ALCOHOL IMPAIRED DRIVING COUNTERMEASURES INCENTIVE GRANTS I

CFDA 20602 OCCUPANT PROTECTION INCENTIVE GRANTS

CFDA 20609 SAFETY BELT PERFORMANCE GRANTS

CFDA 20610 STATE TRAFFIC SAFETY INFORMATION SYSTEM IMPROVEMENTS GRANTS

CFDA 20611 INCENTIVE GRANT PROGRAM TO PROHIBIT RACIAL PROFILING

CFDA 20612 INCENTIVE GRANT PROGRAM TO INCREASE MOTORCYCLIST SAFETY

CFDA 20613 CHILD SAFETY AND CHILD BOOSTER SEAT INCENTIVE GRANTS

CFDA 20616 NATIONAL PRIORITY SAFETY PROGRAMS


The objective of the highway traffic safety grant programs is to provide a coordinated national highway safety program to reduce traffic accidents deaths injuries and property damage


Funds are provided to the States following submission and approval of their highway safety plans which include their National Priority Safety Programs applications in accordance with a predefined formula The National Priority Safety Programs which is considered one program was authorized by the Moving Ahead for Progress in the 21st Century Act (MAP-21) (Pub L No 112-141) The areas covered by the National Priority Safety Programs are Occupant Protection Impaired Driving Ignition Interlock State Traffic Safety Information System Improvements Motorcyclist Safety Distracted Driving and Graduated Drivers Licensing Funding for Safety Belt Performance Racial Profiling and Child Safety were not continued by MAP-21 States still may be spending funds previously awarded under those CFDA numbers All funding is administered as one combined program

The Highway Safety Act of 1966 established a formula grant program for States to save lives and prevent injuries due to road traffic crashes To qualify for Section 402 funding States must submit by July 1 every year for NHTSA approval an annual Highway Safety Plan (HSP) that identifies highway safety problems establishes performance targets documents an evidence-based enforcement plan and describes strategies and projects supported by data to reduce traffic crashes The Fixing Americarsquos Surface Transportation (FAST Act) (PL 114-94) amended NHTSArsquos highway safety grant program (23 USC 402) and the National Priority



Safety Program grants (23 USC 405) No changes were made to the contents of the HSPs The FAST Act restored (with some changes) the racial profiling data collection grant authorized under the Safe Accountable Flexible Efficient Transportation Equity Act A Legacy for Users Public Law 109-59 (Section 1906) The National Priority Safety Programs which is considered one program was authorized by the Moving Ahead for Progress in the 21st Century (Map-21 Pub L 112-141) The areas covered by the National Priority Programs are Occupant Protection Impaired Driving Ignition Interlock State Traffic Safety Information System Improvements Motorcyclist Safety Distracted Driving and Graduated Drivers Licensing The FAST Act added new grants including 247 Sobriety Program Grants Nonmotorized Grants and Racial Profiling Data Collection Grants States may still be spending funds awarded under the following CFDA numbers 20601 20602 20609 20610 20611 20612 and 20613


Programs are authorized under 23 USC Chapter 4 (Highway Safety) Pub L No 109-59 the Safe Accountable Flexible Efficient Transportation Equity Act A Legacy for Users (SAFETEA-LU) as amended by Section 112001 of Pub L No 112-141 the Surface Transportation Extension Act of 2012 Part II MAP-21 and Fixing Americarsquos Surface Transportation (FAST) Act Pub L 114-94 Implementing regulations are in 23 CFR Part 1300


The National Highway Traffic Safety Administration maintains a website that provides program laws regulations and other general information (httpwwwnhtsadotgov) Program procedures for some programs have been published in the Federal Register at 71 FR 5110 (CFDA 20613) 71 FR 5727 (CFDA 20611) 71 FR 5729 (CFDA 20610) 71 FR 4196 (CFDA 20609) and 78 FR 4986 (CFDAs 20600 and 20616)






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Y Y Y N N Y Y N N Y N N


Funds must be expended as specified in the granteersquos highway safety plan

B Allowable CostsCost Principles

Certain specific costs which will not be approved or that require prior approval have been identified in the Highway Safety Funding Guidance which is available at httpsonenhtsagovAbout-NHTSAHighway-Safety-Grant-ProgramsHSGrantFunding_Guidance (23 CFR section 120013 and part 1200 Appendix A)


The following activities are allowed or allowed with specific conditions

a Purchase of the following types of equipment is subject to compliance with any applicable standards and performance specifications and inclusion on the applicable Conforming Products List (CPL) established by NHTSA the Research and Innovative Technology Administration (RITA) the American College of Surgeons or by other nationally recognized standard-setting agencies or by State standards and performance specifications as long as they are at least as stringent as applicable national standards and performance specifications

(1) Police traffic enforcement speed-measuring devices such as Radars Lidars and Across the Road devices (A comprehensive list of such devices can be found online at httpswwwtheiacporgresourcesdocumentiacp-radarlidar-testing)

(2) Alcoholdrug testing devices and costs for re-certification of such devices



(3) Ambulances

(4) Helicopters (Helicopters must be equipped for emergency medical services (EMS) missions and for police traffic safety functions related to law enforcement with an absolute priority accorded to EMS duty needs for crash site victim removal)

(5) Automated External Defibrillators (AED) (AEDs are to be used for training EMS personnel only AEDrsquos cannot be used to equip ambulances (or police cars or offices) and

(6) Fixed wing aircraft

b The purchase and installation of regulatory and warning signs and supports and field reference markers for roads off the Federal-aid system

c Travel for out-of-state individuals benefiting the host Statersquos highway safety program

d Training of personnel and the development of new training curricula materials and supplies including portable skid platforms and driving simulators if they are used for a NHTSA-approved training program

e Consultant services promotional activities alcoholic beverages to support police ldquostingrdquo operations (eg undercover police-directed operations to detect unlawful practices associated with underage drinking laws) and meetings and conferences Costs for promotional items are only allowable when evidence is provided that items are directly related and integral to project objectives

f For State and Community Highway Safety (CFDA 20600) funds supplementing demonstration projects implemented under Section 403 (23 USC 402(g)(2))

g Cooperating with neighboring States for highway safety purposes that benefit all participating States (23 USC 402(c))

h Advertising space

i For Child Safety and Child Booster Seat Incentive Grants (CFDA 20613) child safety seat purchases are limited to 50 percent of the annual award (Section 2011(d) of SAFETEA-LU)

j For Incentive Grant Program to Increase Motorcyclist Safety (CFDA 20612) purchase of facilities including the purchase of land (Section 2010(e)(1)(B)(iv) of SAFETEA-LU))




a Highway construction maintenance or design construction or reconstruction of permanent facilities highway safety appurtenances office furnishings and fixtures and purchase of land (except as provided under IIIA1j above)

b Truck scales traffic signal preemption systems automated traffic enforcement systems radars and for Alcohol Impaired Driving Countermeasures Incentive Grants I (CFDA 20601) and the impaired driving funds under National Priority Safety Programs (CFDA 20616) speed measuring devices

c An individualrsquos salary while pursuing training and overtime for police officers attending drug recognition training

d Research costs expenses to defray activities of Federal agencies alcoholic beverages for consumption purposes or techniques for determining driver impairment entertainment costs and commercial driversrsquo compliance requirements Drug impaired activities equipment and drug-impaired training are not allowed with funds transferred to the State under 23 USC 154 or 164

e No Federal funds may be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body Such activities include both direct and indirect (eg grassroots) lobbying activities with one exception This does not preclude a State official whose salary is supported with NHTSA funds to engage in direct contact with State or local legislative officials in accordance with customary State practice even if it urges legislative officials to favor or oppose the adoption of a specific pending legislative proposal (23 CFR part 1200 Appendix A)

G Matching Level of Effort Earmarking

1 Matching

a States receiving State and Community Highway Safety grants (Section 402) are required to contribute at least 20 percent or the applicable sliding scale rate as stated in the grant award of the total cost of the program States are required to pay at least 50 percent or the applicable sliding scale rate as stated in the grant award of the costs for planning and administration (Indian Nations and Territories are 100 percent federally funded) (23 USC 120(b) and 402(d) 23 CFR section 120013(a)) (CFDA 20600)



b States receiving Alcohol Impaired Driving Countermeasures Incentive Grants I (CFDA 20601) and Occupant Protection Incentive Grants (20602) are required to match Federal funds at 25 percent for the first and second years 50 percent for the third and fourth years and 75 percent for the fifth and sixth years (23 USC 405 and 410 23 CFR sections 13134(b) and 13454(a))

c States awarded State Traffic Safety Information System Improvements Grants (CFDA 20610) and Incentive Grant Program to Prohibit Racial Profiling (CFDA 20611) are 80 percent federally funded (Indian Nations and Territories are 100 percent federally funded) (23 USC 408(e)(4) Section 1906(e)(2) of SAFETEA-LU)

d States awarded Child Safety and Child Booster Seat Incentive Grants (CFDA 20613) are required to match Federal funds at 25 percent the first second and third years and 50 percent the fourth year (Section 2011(c) of SAFETEA-LU)

e States receiving grants National Priority Safety Programs are required to contribute at least 20 percent of the total cost of the program (Territories and Indian Nations are 100 percent federally funded) (23 USC 402(d) 23 CFR section 120020(f)) (CFDA 20616)

f Additional matching requirements may be specified in the granteersquos highway safety plan to limit the maximum Federal share of an ambulance helicopter AED or aircraft to 25 percent

2 Level of Effort

21 Level of Effort ndash Maintenance of Effort

a For Incentive Grant Program to Increase Motorcyclist Safety (CFDA 20612) a State must maintain its aggregate expenditures from all other sources for motorcyclist safety training programs and motorcyclist awareness programs at or above the average level of such expenditures in fiscal years 2003 and 2004 (23 CFR part 1350)

b For Alcohol Impaired Driving Countermeasures Incentive Grants I (CFDA 20601) a State must maintain its aggregate expenditures from all other sources for alcohol traffic safety programs at or above the average level of such expenditures in fiscal years 2003 and 2004 (23 USC 410(a)(2))

c For Occupant Protection Incentive Grants (CFDA 20602) a State must maintain its aggregate expenditures from all other sources for programs to reduce highway deaths and injuries resulting from individuals riding unrestrained or improperly restrained in motor



vehicles at or above the average level of such expenditures in fiscal years 2003 and 2004 (23 USC 405(a)(2))

d For State Traffic Safety Information System Improvements Grants (CFDA 20610) a State must maintain its aggregate expenditures from all other sources for highway safety data programs at or above the average level of such expenditures in fiscal years 2003 and 2004 (23 USC 408(e)(3))

e For Child Safety and Child Booster Seat Incentive Grants (CFDA 20613) a State must maintain its aggregate expenditures from all other sources for child safety seat and child restraint programs at or above the average level of such expenditures in fiscal years 2003 and 2004 (Section 2011(b) of SAFETEA-LU)

f For National Priority Safety Programs (CFDA 20616) a State must maintain its aggregate expenditures from all other sources at or above the average level of such expenditures in fiscal years 2010 and 2011 for activities for Occupant Protection State Traffic Safety Information System Improvements and Impaired Driving Countermeasures (23 USC 405(a)(1)(H) 23 CFR sections 120021(d)(5) 120022(f) and 120023(d)(2))

The Occupant Protection State Traffic Safety Information System Improvements and Impaired Driving Countermeasures Programs authorized by the FAST Act must maintain its aggregate expenditures at or above the average level of such expenditures in fiscal years 2014 and 2015 23 CFR sections 130021(5) 130022(c) and 130023 (d) (2)

22 Level of Effort ndash Supplement Not Supplant

Not Applicable

3 Earmarking

a At least 40 percent of Federal funds apportioned to a State under State and Community Highway Safety (CFDA 20600) for any fiscal year shall be expended by or for the political subdivisions of the State in carrying out local highway safety programs (23 USC 402(b)(1)(C) 23 CFR part 1200 Appendix E)

b The Federal costs for planning and administration under State and Community Highway Safety (CFDA 20600) shall not exceed 13 percent of the funds received by the State Indian Nations are exempt from this requirement (23 CFR section 120013(a))

c States receiving grants as High Fatality Rate States under Alcohol Impaired Driving Countermeasures Incentive Grants I (CFDA 20601)



must use at least one half of those grant monies toward High Visibility Enforcement Campaigns (23 USC 410(g)(2))

L Reporting





d HS-217 Highway Safety Plan Cost Summary (OMB No 2127-0003)

e Federal-Aid Reimbursement Voucher (OMB No 2127-0003)


Not Applicable

3 Special Reporting

Not Applicable













Program objectives for programs covered by this cross-cutting section are set forth in the individual program sections of this Supplement


The DOT implementation of 2 CFR part 200 and Federal transit legislation and regulations has established a number of requirements that would apply to multiple programs funded by DOT Certain exceptions or dollar thresholds in these requirements may not apply to many rural transit activities



1 Equipment Management Requirements for Subrecipients of States ndash Applies to all of the DOT programs in the Supplement that are listed above

Notwithstanding 2 CFR section 200313 subrecipients of States shall follow such policies and procedures allowed by the State with respect to the use management and disposal of equipment acquired under a DOT award (2 CFR section 1201313)

2 Transfer Sale or Lease of Transit Property Equipment or Supplies ndash Applies to the following DOT programs in this Supplement Federal Transit Cluster















3

4












J Program Income




1 Charter Service







































INTRODUCTION



CFDA Program Name






TIFIA Program





























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J Program Income




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Spec

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Test

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Pr

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ions







2

3

4

5









































Act

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ities

A

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M

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Spec

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(3) Ambulances










h Advertising space












1 Matching









2 Level of Effort













Not Applicable

3 Earmarking







L Reporting








Not Applicable

3 Special Reporting

Not Applicable




J Program Income




1 Charter Service







































INTRODUCTION



CFDA Program Name






TIFIA Program





























Areas



Shelter Plus Care









Public Housing


HOPE VI Cluster





CFP









Gulf RESTORE



Impact Aid









































Act

iviti

es

Allo

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b















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L Reporting








Not Applicable

3 Special Reporting

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2 Revenue Diversion













































ctiv

ities

A

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L

M

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Reporting







Not Applicable

3 Special Reporting

Not Applicable










































6 Project Approvals






7 Value Engineering








8 Utilities
















































Act

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Allo

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M

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Spec

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Test

s and

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ctiv

ities

A

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M

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Spec

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Test

s and

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Not Applicable

3 Special Reporting

Not Applicable










































Act

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es

Allo

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Allo

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Cos

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Cas

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Spec

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A State Agencies








D Subrecipients











ctiv

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A

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Cas

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M

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Spec

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Test

s and

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New Freedom Program











Subrecipients












Act

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es

Allo

wed

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Una

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Allo

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Cos

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Prin

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Cas

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M

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Spec

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Test

s and

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2

3

4

5









































Act

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s and

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ities

A

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Spec

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s and

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(3) Ambulances










h Advertising space












1 Matching









2 Level of Effort













Not Applicable

3 Earmarking







L Reporting








Not Applicable

3 Special Reporting

Not Applicable


































INTRODUCTION



CFDA Program Name






TIFIA Program





























Areas



Shelter Plus Care









Public Housing


HOPE VI Cluster





CFP









Gulf RESTORE



Impact Aid









































Act

iviti

es

Allo

wed

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le

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Cas

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L Reporting








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ctiv

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A

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L

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Not Applicable

3 Special Reporting

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6 Project Approvals






7 Value Engineering








8 Utilities
















































Act

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Allo

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Cas

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s and

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ctiv

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A

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M

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Spec

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L Reporting






Not Applicable

3 Special Reporting

Not Applicable










































Act

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Allo

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Spec

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A State Agencies








D Subrecipients











ctiv

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A

llow

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Spec

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New Freedom Program











Subrecipients












Act

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Allo

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2

3

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Act

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Spec

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ions













(3) Ambulances










h Advertising space












1 Matching









2 Level of Effort













Not Applicable

3 Earmarking







L Reporting








Not Applicable

3 Special Reporting

Not Applicable


























Areas



Shelter Plus Care









Public Housing


HOPE VI Cluster





CFP









Gulf RESTORE



Impact Aid









































Act

iviti

es

Allo

wed

or

Una

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le

Cos

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Prin

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Cas

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ctiv

ities

A

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M

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3 Special Reporting

Not Applicable










































6 Project Approvals






7 Value Engineering








8 Utilities
















































Act

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es

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Cas

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Spec

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ions



























































ctiv

ities

A

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Spec

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Not Applicable

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Not Applicable










































Act

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es

Allo

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Cas

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Spec

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Test

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ions











































A State Agencies








D Subrecipients











ctiv

ities

A

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Act

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Act

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Act

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Spec

ial

Test

s and

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ovis

ions

























New Freedom Program











Subrecipients












Act

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2

3

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Act

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3 Special Reporting

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L Reporting








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3 Special Reporting

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2 Revenue Diversion













































ctiv

ities

A

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3 Special Reporting

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6 Project Approvals






7 Value Engineering








8 Utilities
















































Act

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s and

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A

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Act

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A State Agencies








D Subrecipients











ctiv

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A

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Spec

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New Freedom Program











Subrecipients












Act

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wed

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Una

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2

3

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Act

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A

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3 Special Reporting

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A

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3 Special Reporting

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6 Project Approvals






7 Value Engineering








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Act

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s and

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A

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Act

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Spec

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A State Agencies








D Subrecipients











ctiv

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A

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Spec

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New Freedom Program











Subrecipients












Act

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Allo

wed

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2

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A

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6 Project Approvals






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Act

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Act

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ctiv

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A

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Subrecipients












Act

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Allo

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2

3

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Act

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ctiv

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A

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L Reporting








Not Applicable

3 Special Reporting

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L

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Reporting







Not Applicable

3 Special Reporting

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6 Project Approvals






7 Value Engineering








8 Utilities
















































Act

iviti

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Spec

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Test

s and

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ities

A

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Spec

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Test

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L Reporting






Not Applicable

3 Special Reporting

Not Applicable










































Act

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Allo

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Spec

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Test

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A State Agencies








D Subrecipients











ctiv

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A

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M

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Spec

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Test

s and

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New Freedom Program











Subrecipients












Act

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wed

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2

3

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Act

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ities

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3 Earmarking







L Reporting








Not Applicable

3 Special Reporting

Not Applicable





































6 Project Approvals






7 Value Engineering








8 Utilities
















































Act

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ities

A

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Spec

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s and

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L Reporting






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3 Special Reporting

Not Applicable










































Act

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Spec

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A State Agencies








D Subrecipients











ctiv

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A

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New Freedom Program











Subrecipients












Act

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Allo

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2

3

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Act

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(3) Ambulances










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1 Matching









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Not Applicable






8 Utilities
















































Act

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Act

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A

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New Freedom Program











Subrecipients












Act

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3 Special Reporting

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Act

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Not Applicable

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Act

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A State Agencies








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ctiv

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A

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Subrecipients












Act

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2

3

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5









































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3 Earmarking







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3 Special Reporting

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ctiv

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A

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Test

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3 Special Reporting

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Act

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Spec

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A State Agencies








D Subrecipients











ctiv

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Spec

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Test

s and

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New Freedom Program











Subrecipients












Act

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2

3

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3 Earmarking







L Reporting








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3 Special Reporting

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L Reporting






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3 Special Reporting

Not Applicable










































Act

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Test

s and

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A State Agencies








D Subrecipients











ctiv

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A

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Spec

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Test

s and

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New Freedom Program











Subrecipients












Act

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2

3

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Act

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(3) Ambulances










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Act

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ctiv

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A

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Spec

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Test

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New Freedom Program











Subrecipients












Act

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Allo

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2

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A State Agencies








D Subrecipients











ctiv

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A

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New Freedom Program











Subrecipients












Act

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Act

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